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VANCOUVER, Dec. 29 /CNW/ - The B.C. Securities Commission called a Kamloops man “the most dangerous kind of market abuser there is” in ruling that he acted contrary to the public interest when he made misrepresentations and committed fraud in selling $1.5-million of unqualified securities to investors. For a five-year period, beginning in 1996, Steven [...]
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The Investment Dealers Association of Canada reports that the Ontario Securities Commission will only be imposing post-licensing education requirements on retail salespeople.
The IDA says that the OSC has advised it that registered representatives (non-retail) and non-retail registered representative options (non-retail) will no longer be required to complete the Professional Financial Planning Course or the Investment [...]
The Financial Planners Standards Council today introduced its proposed Financial Planning Practice Standards. The standards further clarify what is expected of Certified Financial Planner (CFP) professionals when offering financial planning.
“The evolution of financial planning is being shaped by the CFP community. Today, we are inviting this community to get ready for the next significant step [...]
“A United Kingdom securities regulator could change the way Wall Street firms operate more dramatically than Eliot Spitzer has,” writes Silvia Ascarelli in today’s Wall Street Journal.
“Mr. Spitzer, the attorney general for the state of New York, has forced major Wall Street securities firms to sever some ties between investment bankers and stock-market analysts and [...]
CNQ is hosting public presentations in Calgary and Vancouver on October 7th and 9th, 2003. Senior management of CNQ will meet with local issuers and securities industry professionals to announce the latest developments at CNQ, especially those of importance to Alberta and British Columbia.
Since CNQ was launched, many participants in the equity markets in Western [...]
RBC Capital Markets today announced that Scott Collins has joined RBC Capital Markets as Director of US Equity Research, effective October 1.
Collins will be responsible for all aspects of US equity research, helping to further build RBC’s cross-border research capabilities.
“Scott brings considerable investment industry experience to his new position and his addition to RBC Capital [...]
TSX Datalinx and CanDeal.ca Inc. today announced a five-year agreement that will see TSX Datalinx, through its LinxPointOne data distribution product, provide market data distribution services for CanDeal.ca Inc.
Under this deal, which will be implemented this fall, pricing of CanDeal’s Government of Canada Bonds and Treasury Bills and a wide range of Provincial securities will [...]
The U.S. Securities and Exchange Commission has charged the Chicago Stock Exchange with failing to enforce some of its trading rules.
The SEC has settled an administrative action against the CSE, which consented to entry of the order and to the imposition of sanctions and a cease-and-desist order without admitting or denying the commission’s allegations.
Specifically, the [...]
Canadians remain confident about their financial futures despite challenging circumstances, according to one of two studies commissioned by Canada Investment and Savings, the Special Operating Agency of the federal Department of Finance responsible for Canada Savings Bonds.
The agency released the study to accompany today’s launch of the 2003-2004 Canada Savings Bond season. It runs until [...]
TORONTO, Oct. 1 /CNW/ - October 1st is the International Day of Older Persons, and regulators are reminding older Canadians to be wary of opportunities that sound too good to be true.
“It’s important to understand what you’re investing in, and how your investment decisions impact your goals and objectives,” says Stephen Sibold, chair of the [...]
Ken
There is an international agreement between Canada and the UK for government benefits. Call Service Canada to discuss your individual ... Karen
I am very sorry to hear that you are out of work due to your disability. You may be able ...
Try to find a mortgage broker who will show you how to pay less taxes, be debt free sooner and ...
I have been off work for over 2 yrs and I will not be able to return due to my ...
As of August 19, 2008, holograph wills are apparently legal in Nova Scotia:
http://www.legalinfo.org/index.php?option=content&task=view&id=114#8
Also, there is no indication ...
It would be helpful to make referance to what happens if the beneficiary designated were to pass away prior to ...
Hi, I was wondering where I could go to get E&O insurance as a insurance broker. 
CAAMP offers the licensing course and once you pass the exam you need to be registered with FSCO by a ...
If a shareholder is active in the business, in lieu of dividends may a fee be paid to the shareholder ...
We are experiencing this problem with my sister and brother who are co-executors for my mother who is 95. ...
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