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Keyword: Registration

329 results found

OSC upholds decision to deny registration to fund salesman

Dismissed salesman unable to transfer registration

By: IE Staff
July 22, 2003 July 22, 2003
09:55

NRD filing deadline extended to November 15

Transition period stretches on

By: IE Staff
June 23, 2003 June 23, 2003
08:40

OSC extends filing deadlines for National Registration Database

Data conversion problems slows transition

By: IE Staff
May 12, 2003 May 12, 2003
09:10

Firms must enrol for NRD by February 10

OSC advises some applications may need to be refiled

By: IE Staff
January 29, 2003 January 29, 2003
16:10

OSC denies registration for fund salesman

Says serious questions regarding past record remain outstanding

By: IE Staff
November 21, 2002 November 21, 2002
14:35

Streamlined registration system

CSA publishes explanatory notice

By: IE Staff
September 23, 2002 September 23, 2002
15:45

Ontario fund rep wins registration appeal

Elwood subject to monthly supervision

By: IE Staff
September 17, 2002 September 17, 2002
16:05

CSA seek comments on National Registration Database

NRD expected to launch in November

By: IE Staff
June 14, 2002 June 14, 2002
15:45

IDA extends notification deadline for Ontario reps

Reps given 10 days to notify IDA of civil proceedings

By: IE Staff
June 7, 2002 June 7, 2002
11:10