HSBC Securities (Canada) Inc. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 26 Jan 2024 19:33:22 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png HSBC Securities (Canada) Inc. – Investment Executive https://www.investmentexecutive.com 32 32 Proposed trailer fee class action denied again https://www.investmentexecutive.com/news/from-the-regulators/proposed-trailer-fee-class-action-denied-again/ Fri, 26 Jan 2024 19:33:22 +0000 https://www.investmentexecutive.com/?p=479355 Firms were allowed to collect trailers before the CSA ban, court rules

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]]> HSBC fined over DIY client fee errors https://www.investmentexecutive.com/news/from-the-regulators/hsbc-fined-over-diy-client-fee-errors/ Thu, 04 Jan 2024 20:49:50 +0000 https://www.investmentexecutive.com/?p=478022 Certain clients overcharged, others undercharged, due to recordkeeping glitch

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]]> Discount brokers can’t be sued over pre-ban trailers, court rules https://www.investmentexecutive.com/news/from-the-regulators/discount-brokers-cant-be-sued-over-pre-ban-trailers-court-rules/ Mon, 23 Jan 2023 23:11:44 +0000 https://www.investmentexecutive.com/?p=459113 Ontario court rules that discount brokers' receipt of trailing commissions was not considered illegal before the June 2022 ban

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]]> MX disciplines HSBC over electronic access https://www.investmentexecutive.com/news/from-the-regulators/mx-disciplines-hsbc-over-electronic-access/ Wed, 30 Nov 2022 01:36:45 +0000 https://www.investmentexecutive.com/?p=456570 Firm sanctioned over unapproved access to exchange's systems

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]]> HSBC InvestDirect to offer Canadian investors online access to key international exchanges https://www.investmentexecutive.com/news/products/hsbc-investdirect-to-offer-canadian-investors-online-access-to-key-international-exchanges/ Mon, 09 Mar 2009 14:10:00 +0000 https://www.investmentexecutive.com/uncategorized/hsbc-investdirect-to-offer-canadian-investors-online-access-to-key-international-exchanges/ Discount brokerage to offer Canadian investors online access to key international exchanges

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]]> HSBC Securities’ new CEO aims for growth https://www.investmentexecutive.com/newspaper_/news-newspaper/news-44856/ Tue, 03 Jun 2008 14:22:00 +0000 https://www.investmentexecutive.com/uncategorized/news-44856/ Lorne Harper wants to use the brokerage firm’s parent’s strong name to attract new clients

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]]> HSBC Securities to pay more than $1 million to settle market timing charges https://www.investmentexecutive.com/news/from-the-regulators/hsbc-securities-to-pay-more-than-1-million-to-settle-market-timing-charges/ Wed, 31 Aug 2005 17:30:00 +0000 https://www.investmentexecutive.com/uncategorized/hsbc-securities-to-pay-more-than-1-million-to-settle-market-timing-charges/ 800 trades executed for one client

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]]> HSBC Securities settles with IDA over trading violations https://www.investmentexecutive.com/news/from-the-regulators/hsbc-securities-settles-with-ida-over-trading-violations/ Mon, 22 Aug 2005 12:25:00 +0000 https://www.investmentexecutive.com/uncategorized/hsbc-securities-settles-with-ida-over-trading-violations/ Hearing scheduled for Wednesday

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