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Company: Investment Dealers Association of Canada

522 results found

IDA fines HSBC Securities rep $15,000

Broker failed to disclose personal financial dealing with client

By: IE Staff
February 10, 2004 February 10, 2004
12:25

IDA lowers fees for firms under ME audit jurisdiction

Fees to fall by 50%

By: IE Staff
February 9, 2004 February 9, 2004
16:15

IDA drops partners exam as substitute for CPH exam

New requirements in effect after May 24

By: IE Staff
February 9, 2004 February 9, 2004
15:50

IDA disciplines former Merrill rep for discretionary trading

Brown fined $25,000

By: IE Staff
February 6, 2004 February 6, 2004
11:35

Pacific IDA fines CIBC rep $25,000

Golden Securities penalized $20,000 for inadequate supervision

By: IE Staff
February 5, 2004 February 5, 2004
16:30

IDA fines former TD rep

Montreal broker failed to disclose interest in account

By: IE Staff
February 5, 2004 February 5, 2004
14:10

IDA chief calls for greater enforcement powers

Recommends changes to criminal code regarding insider trading

By: IE Staff
January 29, 2004 January 29, 2004
13:30

IDA clarifies client priority in TSX Venture private placements

Board approve definition of "approved person"

By: James Langton
January 28, 2004 January 28, 2004
15:40

IDA releases enforcement statistics for 2003

Number of complaints rises 41%

By: IE Staff
January 26, 2004 January 26, 2004
15:20

Industry must press for meaningful reform: Oliver

Don't let provinces off the hook says IDA chief

By: James Langton
January 23, 2004 January 23, 2004
08:40