Changes establish standards for the qualification of chief compliance officers
IDA, CDS issue joint notice
Vance Elder knew, or was wilfully blind, to the fact his administrative assistant signed client signatures, as well his, on client account documentation
New methodology determines a customized margin rate for each listed equity
Previous IDA hearing panel had found firm guilty of failing to co-operate
Laval woman misappropriated client funds
Regulator imposes permanent ban on Milardovic for failure to cooperate
Revenue up 9.3%, but expected to decline
A hearing panel of the Investment Dealers Association of Canada has imposed discipline penalties on Ronald Keith Furevick, at all material times an approved person at the Peterborough, Ont., branch of Desjardins Securities Inc.Following a disciplinary hearing held on July 20, the panel accepted an agreed statement of facts jointly submitted by IDA enforcement staff […]
Penalty hearing scheduled for October 10