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Company: Investment Dealers Association of Canada

522 results found

ME transfers member regulation functions to IDA

IDA welcome new members

By: IE Staff
January 7, 2005 January 7, 2005
16:30

IDA sets out guidelines for reporting trade name usage

Firms must notify regulator before using names

By: James Langton
January 5, 2005 January 5, 2005
16:25

IDA panel upholds rep’s refusal to attend interview

A registered rep has won his argument before an Investment Dealers Association hearing panel over whether he should have to attend an investigative interview with an investigator from a U.S. regulator sitting in.A disciplinary hearing was held Dec. 13 over an alleged violation of IDA by-laws by Brian Gruson, now a rep with Desjardins Securities […]

By: IE Staff
December 22, 2004 December 22, 2004
16:37

IDA settles with three brokerages over market timing

Imposes more than $40 million in penalties

By: Alan Husdal
December 16, 2004 December 16, 2004
16:15

IDA fines Halifax broker $10,000

Rep admits to unauthorized trades

By: IE Staff
December 15, 2004 December 15, 2004
15:50

IDA fines Chicoutimi broker $25,000

Former Assante rep given 12 month suspension

By: IE Staff
December 15, 2004 December 15, 2004
13:55

IDA extends time limits for applying for registration

Individuals must enroll in continuing education program

By: James Langton
December 15, 2004 December 15, 2004
08:40

Brokerages reach settlement over market timing

IDA hearing set for Dec. 16

By: James Langton
December 7, 2004 December 7, 2004
08:40

IDA issues update on straight through processing

Alternative STP rules being considered

By: IE Staff
December 6, 2004 December 6, 2004
14:55

IDA fines Vancouver broker $5,000

Gee admits to forging client's signature

By: IE Staff
December 2, 2004 December 2, 2004
14:20