Company: RBC Dominion Securities Inc.

33 results found
RBC introduces mobile app for DS advisors

Advisor’s Virtual Assistant allows advisors to manage their days and tasks as well as review clients’ portfolios on the go

  • By: IE Staff
  • May 24, 2017 December 19, 2017
  • 10:50

Firm failed to adequately supervise rep

  • By: IE Staff
  • June 24, 2014 December 19, 2017
  • 14:40

Claim against RBC DS was brought after limitation period expired

Former associate advisor permitted to contact “primary contact clients”

2013 Brokerage Report Card: RBC scores increase in 36 of 38 categories

Mike Scott of DS explains the strategies that enabled RBC to remain top-ranked among the bank-owned brokerages in the 2013 Brokerage Report Card

Prior forged his siblings’ signatures on guarantees for his personal investment account

RBC DS fined $500,000; Two Montreal brokers each fined $100,000

  • By: IE Staff
  • August 13, 2012 August 13, 2012
  • 10:30

Transfer will enable clients to access their accounts

  • By: IE Staff
  • November 14, 2011 November 14, 2011
  • 15:35

Audits at RBC DS highlight the importance for advisors to exercise caution when assisting clients with complex tax planning

CRA conducting audits involving advisors at the firm