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Keyword: Registration

274 results found

IDA extends time limits for applying for registration

Individuals must enroll in continuing education program

Deadline for NRD enrolment looms for Quebec firms

Firms must register by November 30

AMF to join National Registration Database

Quebec enrolment deadline set for January 1

  • By: IE Staff
  • September 21, 2004 September 21, 2004
  • 15:50

BCSC drops proposed registration rule

Says firm-only registration would complicate national system

OSC denies registration to rep

Regulator cites role in $1.25 million loss

  • By: IE Staff
  • June 7, 2004 June 7, 2004
  • 09:15

OSC releases reasons for denying Norlyn registration

The Ontario Securities Commission has issued its’ reasons for denying continued registration to a fund dealer that has not yet been accepted into the Mutual Fund Dealers association.The firm, Norlyn Financial Group Inc., was first granted registration in 1998 as a securities dealer. In May 2001, Norlyn changed its registration category to mutual fund dealer. […]

  • By: IE Staff
  • February 2, 2004 February 2, 2004
  • 15:50

Proposed National Registration System would cut compliance costs

Applicants would only have to file with one regulator

  • By: IE Staff
  • January 9, 2004 January 9, 2004
  • 11:45

Foreign dealers granted exemption from NRD payment requirements

EFT requirements waived

BCSC overturns refusal to renew registration of advisor

Vancouver rep failed to disclose drinking and driving convictions

  • By: IE Staff
  • December 19, 2003 December 19, 2003
  • 15:40

IDA issues reminder on licensing requirements for reps

Course work must be completed within 30 months

  • By: IE Staff
  • November 26, 2003 November 26, 2003
  • 09:20