Markets still showing signs of good health, IDA says
Fund licences mandatory at several firms, but designations remain voluntary
A Toronto broker who churned a client’s account has been fined $45,000 and suspended from the industry for 10 years.The Investment Dealers Association of Canada said Hong Xiao must also return $5,051.50 in commissions, pay $25,000 in costs and re-write the Conduct and Practices Handbook exam before getting back into the industry. She will then […]
The Pacific District Council of the Investment Dealers Association of Canada has fined a Vancouver broker $105,000 and suspended him for three years for amending the investment objectives of a client account without approval and executing unauthorized trades.James Wooster was a registered representative with the Vancouver offices of Nesbitt Burns Corp., which became BMO Nesbitt […]
$10,000 deposit "serves to differentiate the serious applicant"
Approval streamlines Quebec's regulatory framework
Independent dealers showing strong growth: IDA report
NBF rep gave false information
Robert Binnington cheated clients out of a total of US$1.2 million and $410,000
IDA wants to recognize additional course, eliminate duplication