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Keyword: Registration

274 results found

Assante Financial settles with OSC regarding unregistered reps

Agrees to review out-of-province trading

  • By: IE Staff
  • November 24, 2003 November 24, 2003
  • 16:35

Ontario modifies registration proficiency requirements

New rule recognizes other provinces

  • By: IE Staff
  • November 17, 2003 November 17, 2003
  • 15:40

NRD brings changes to Saskatchewan registration process

New procedure for paying fees

  • By: IE Staff
  • November 12, 2003 November 12, 2003
  • 15:35

MFDA issues warning on out of province registrations

Gives firms six months to resolve issue

  • By: IE Staff
  • October 30, 2003 October 30, 2003
  • 15:30

Manulife launches new guaranteed investment funds

Five funds added to seg fund lineup

  • By: IE Staff
  • July 31, 2003 July 31, 2003
  • 09:23

OSC upholds decision to deny registration to fund salesman

Dismissed salesman unable to transfer registration

  • By: IE Staff
  • July 22, 2003 July 22, 2003
  • 09:55

NRD filing deadline extended to November 15

Transition period stretches on

  • By: IE Staff
  • June 23, 2003 June 23, 2003
  • 08:40

OSC extends filing deadlines for National Registration Database

Data conversion problems slows transition

  • By: IE Staff
  • May 12, 2003 May 12, 2003
  • 09:10

Firms must enrol for NRD by February 10

OSC advises some applications may need to be refiled

  • By: IE Staff
  • January 29, 2003 January 29, 2003
  • 16:10

OSC denies registration for fund salesman

Says serious questions regarding past record remain outstanding

  • By: IE Staff
  • November 21, 2002 November 21, 2002
  • 14:35