IDA fines former Scotia Capital rep $40,000
Saltsman slapped with for 10-year ban
- By: IE Staff
- December 15, 2003 December 15, 2003
- 11:10
Latest news in Industry News
Alliance nears trade settlement
Agreement with Spitzer, SEC would require paying US$250 million fine
- By: IE Staff
- December 15, 2003 December 15, 2003
- 08:30
Flight to quality benefits three U.S. fund firms
Stock mutual funds took in more money in the past three months than in any period since 2000, despite the trading scandal
- By: IE Staff
- December 12, 2003 December 12, 2003
- 08:30
B.C. court dismisses broker appeal
Firm allowed to deduct client bad debts from commission earnings
- By: James Langton
- December 11, 2003 December 11, 2003
- 10:43
New CMP designation for financial services leadership
GAMA International Canada, St. Mary's University form strategic partnership
- By: IE Staff
- December 11, 2003 December 11, 2003
- 10:20
Ambitious Spitzer draws controversy
New York Attorney General pushes fund giant to cut fees
- By: IE Staff
- December 11, 2003 December 11, 2003
- 08:35
Bank and trust growth slowed in 2002
Lower interest rates fuelled consumer lending
- By: IE Staff
- December 10, 2003 December 10, 2003
- 13:25
U.S. securities industry profit falls in Q3
Mutual fund sales revenue, asset management fees show stronger results
- By: IE Staff
- December 10, 2003 December 10, 2003
- 12:15
SEC urged to address electronic market risk
“Pressure is mounting on the Securities and Exchange Commission to address the increasingly fragmented electronic stock-trading system in the U.S. after a glitch on the…
- By: IE Staff
- December 10, 2003 December 10, 2003
- 08:30
Canaccord fined $50,000
Brokerage failed to supervise frontrunning trader
- By: IE Staff
- December 9, 2003 December 9, 2003
- 15:20
Rent Shield buys chairman’s high-risk insurance intermediary for $5 million
Acquisition should boost revenues by $25 million
- By: IE Staff
- December 9, 2003 December 9, 2003
- 10:45
Canada should adopt international auditing standards: report
Maintenance of separate Canadian auditing standards difficult to justify
- By: IE Staff
- December 9, 2003 December 9, 2003
- 09:35
Behind the mutual-fund probe
Three informants opened up
- By: IE Staff
- December 9, 2003 December 9, 2003
- 08:35
ING Canada loses another round to Transamerica
Court rules ING breached warranties
- By: James Langton
- December 8, 2003 December 8, 2003
- 16:10
Moody’s changes rating outlook on National Bank
Rating moves from stable to positive
- By: James Langton
- December 8, 2003 December 8, 2003
- 13:30
IDA mulling over exam for compliance officers
Implementation planned for 2005
- By: James Langton
- December 8, 2003 December 8, 2003
- 11:55
Will the Fed stick to its plan on low rates?
Slow employment growth, deflation remain areas of concern
- By: IE Staff
- December 8, 2003 December 8, 2003
- 08:30
Auditor oversight rule nearing adoption
CSA expects rule to take effect in March
- By: IE Staff
- December 5, 2003 December 5, 2003
- 14:50
NASD files rule to increase disclosure of brokerage firms and brokers
Initiates web-based reports
- By: IE Staff
- December 5, 2003 December 5, 2003
- 09:15
CAs adopt new auditor independence standard
Standard marks shift to more rigorous "principles-based" approach
- By: IE Staff
- December 4, 2003 December 4, 2003
- 14:10
National Bank profit jumps 17% in Q4
Bank ups dividend
- By: IE Staff
- December 4, 2003 December 4, 2003
- 10:50
Ontario Court of Appeal gives ING Canada Inc. a boost
Lower court judge erred in striking parts of ING defence in suit involving Transamerica and Aegon Canada Inc
- By: James Langton
- December 3, 2003 December 3, 2003
- 17:20
Sale of branches boosts Laurentian Bank income
CEO announces three-year plan to reposition the bank
- By: IE Staff
- December 3, 2003 December 3, 2003
- 15:00
Weak fund market hurts B2B Trust
Redemptions, slow sales lead to profit decline
- December 3, 2003 December 3, 2003
- 11:00