Research Capital Corp. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 19 Sep 2022 18:45:40 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Research Capital Corp. – Investment Executive https://www.investmentexecutive.com 32 32 Rep sanctioned after ignoring clients’ red flags https://www.investmentexecutive.com/news/from-the-regulators/rep-sanctioned-after-ignoring-clients-red-flags/ Mon, 19 Sep 2022 18:44:18 +0000 https://www.investmentexecutive.com/?p=451748 Disregarding signs of suspicious trading amounts to failed gatekeeper responsibilities, settlement says

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]]> Tax-Free Savings Accounts: A remarkably flexible way to build wealth over a lifetime https://www.investmentexecutive.com/newspaper_/building-your-business-newspaper/news-51447/ Tue, 17 Nov 2009 20:22:00 +0000 https://www.investmentexecutive.com/uncategorized/news-51447/ More and more Canadians are learning that using a TFSA in combination with an RRSP gives them many advantages

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]]> Research Capital to distribute PWBank GICs https://www.investmentexecutive.com/news/products/research-capital-to-distribute-pwbank-gics/ Thu, 27 Aug 2009 19:30:00 +0000 https://www.investmentexecutive.com/uncategorized/research-capital-to-distribute-pwbank-gics/ Investment dealer adds to growing network of deposit agents

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]]> RS sanctions Research Capital Corp. for failure to supervise https://www.investmentexecutive.com/news/industry-news/rs-sanctions-research-capital-corp-for-failure-to-supervise/ Fri, 28 Apr 2006 20:34:00 +0000 https://www.investmentexecutive.com/uncategorized/rs-sanctions-research-capital-corp-for-failure-to-supervise/ Sanctioned company to pay disgorgement of $16,260, investigative costs of $135,000

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]]> Partial victory for Research Capital in Palumbo dismissal suit https://www.investmentexecutive.com/news/from-the-regulators/partial-victory-for-research-capital-in-palumbo-dismissal-suit/ Tue, 07 Sep 2004 17:59:00 +0000 https://www.investmentexecutive.com/uncategorized/partial-victory-for-research-capital-in-palumbo-dismissal-suit/ Ontario appeal court reverses decision on compensation

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]]> BCSC fines Research Capital for breaching cease trade order https://www.investmentexecutive.com/news/industry-news/bcsc-fines-research-capital-for-breaching-cease-trade-order/ Tue, 02 Mar 2004 15:55:00 +0000 https://www.investmentexecutive.com/uncategorized/bcsc-fines-research-capital-for-breaching-cease-trade-order/ Firm fined $40,000

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]]> Bankers less critical of their work tools — includes chart https://www.investmentexecutive.com/newspaper_/report-card-on-banks-cus/bankers-less-critical-of-their-work-tools-includes-chart-br/ Thu, 26 Jun 2003 20:33:00 +0000 https://www.investmentexecutive.com/uncategorized/bankers-less-critical-of-their-work-tools-includes-chart-br/ Some banks show marginal improvement, but most managers are still far from satisfied

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]]> Court dismisses appeal against Research Capital https://www.investmentexecutive.com/news/from-the-regulators/court-dismisses-appeal-against-research-capital/ Wed, 11 Dec 2002 22:30:00 +0000 https://www.investmentexecutive.com/uncategorized/court-dismisses-appeal-against-research-capital/ Guarantor of account must pay loss

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]]> Research Capital slapped with fine https://www.investmentexecutive.com/news/from-the-regulators/research-capital-slapped-with-fine/ Mon, 24 Jun 2002 19:55:00 +0000 https://www.investmentexecutive.com/uncategorized/research-capital-slapped-with-fine/ Trader didn't complete tickets properly

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