| #0179-M |
12/22/05 |
Resignation |
East Asia Securities Inc. |
 |
 |
| #0178-P |
12/13/05 |
Policy |
Housekeeping Amendments to MFDA Rule 2.2.1; Section 23 of MFDA By-law No. 1; MFDA Financial Questionnaire and Report (Part 1 Auditors' Report) and MFDA Internal Control Policy Statements |
|
|
| #0177-M |
12/12/05 |
Membership Information |
2005 Annual General and Special Meeting of Members |
|
|
| #0176-M |
12/12/05 |
Notice of Intention to Resign |
Odyssey Capital Corporation. |
|
|
| #0175-M |
12/01/05 |
Membership Information |
MFDA Investor Protection Plan Brochure |
|
|
| #0174-M |
11/02/05 |
Notice of Intention to Resign |
Capstone Consultants Limited |
|
|
| #0173-M |
10/28/05 |
Resignation |
John Nicola Financial Group Ltd. |
|
|
| #0172-M |
10/26/05 |
Notice of Intention to Resign |
The Western Mutual Fund Company Ltd. |
|
|
| #0171-M |
10/26/05 |
Membership Information |
2005/2006 Financial Filing Deadlines |
|
|
| #0170-P |
10/21/05 |
Policy |
MFDA Investor Protection Corporation Working Group |
|
|
| #0169-M |
10/19/05 |
Withdrawal of Intention to Resign |
DNL Money Management Ltd. |
|
|
| #0168-M |
10/06/05 |
Notice of Intention to Resign |
ITandem Wealth Management Inc. |
|
|
| #0167-M |
10/05/05 |
Notice of Intention to Resign |
IOCT Financial Inc. |
|
|
| #0166-E |
09/30/05 |
Enforcement |
MFDA imposes lifetime ban and $4.5 million fine on Earl Crackower |
|
|
| #0165-E |
09/29/05 |
Enforcement |
MFDA imposes lifetime ban and fines totaling $185,000 on Raymond Brown-John |
|
|
| #0164-M |
09/14/05 |
Notice of Intention to Resign |
DNL Money Management Ltd. |
|
|
| #0163-M |
09/12/05 |
Resignation |
CPA Securities Inc. |
|
|
| #0162-M |
09/08/05 |
Resignation |
All-Canadian Investor Services Inc. |
|
|
| #0161-M |
08/31/05 |
New Member |
KidsFutures Investment Inc. and Leith wheeler Investment Funds Ltd. |
|
|
| #0160-C |
08/18/05 |
Compliance |
Misleading Communications Regarding Investment Loans by Loan Providers |
|
|
| #0159-M |
08/02/05 |
Notice of Intention to Resign |
East Asia Securities Inc. |
|
|
| #0158-P |
07/26/05 |
Policy |
MFDA Investor Protection Corporation Working Group - Nominations for Membership |
|
|
| #0157-E |
07/26/05 |
Enforcement |
MFDA imposes lifetime ban and $25,000 fine on Jawad Rathore |
|
|
| #0156-M |
07/26/05 |
Resignation |
Ascot Financial Services Limited |
|
|
| #0155-M |
07/26/05 |
Resignation |
Faiz & Associates Inc. |
|
|
| #0154-E |
07/18/05 |
Enforcement |
MFDA imposes lifetime ban and $350,000 fine on Arnold Tonnies |
|
|
| #0153-M |
07/18/05 |
Notice of Intention to Resign |
META Financial Management Ltd. |
|
|
| #0152-E |
07/14/05 |
Enforcement |
MFDA imposes lifetime ban and $50,000 fine on Anthony McPhail |
|
|
| #0151-M |
07/12/05 |
Membership Information |
MFDA Mandatory Questionnaire |
|
|
| #0150-P |
07/11/05 |
Policy |
MineralFields Group |
|
|
| #0149-P |
07/07/05 |
Policy |
Argyle Funds SPC Inc. |
|
|
| #0148-E |
07/04/05 |
Enforcement |
MFDA imposes lifetime ban and $375,000 fine on Robert Roy Parkinson |
|
|
| #0147-P |
06/24/05 |
Policy |
Revised FINTRAC Guideline 6E: Record Keeping and Client Identification for Securities Dealers |
|
|
| #0146-M |
06/23/05 |
New Member |
Pewter Financial Ltd. |
|
|
| #0145-M |
06/30/05 |
Resignation |
Integral Wealth Financial Limited |
|
|
| #0144-P |
06/17/05 |
Policy |
MFDA Investor Protection Fund Update |
|
|
| #0143-M |
06/16/06 |
Notice of Intention to Resign |
CPA Securities Inc. |
|
|
| #0142-M |
06/14/05 |
Member Information |
Member Resignation Procedure |
|
|
| #0141-C |
05/24/05 |
Compliance |
Exclusive Capital Corporation |
|
|
| #0140-M |
05/16/05 |
Notice of Ontario Securities Commission Suspension |
Olympus United Group Inc. |
|
|
| #0139-P |
04/25/05 |
Policy |
CSA Staff Notice 23-302 - Joint Regulatory Notice - Electronic Audit Trail Initiative (TREATS) |
|
|
| #0138-M |
04/22/05 |
Notice of Intention to Resign |
Integral Wealth Financial Limited |
|
|
| #0137-M |
04/20/05 |
Notice of Intention to Resign |
Ascot Financial Services Limited |
|
|
| #0136-M |
04/11/05 |
Notice of Intention to Resign |
Faiz & Associates Inc. |
|
|
| #0135-M |
04/18/05 |
Resignation |
Canadian Retirement Securities Ltd. |
|
|
| #0134-M |
03/28/05 |
Change of Name |
R.J. Shea & Associates Financial Services Inc. to GIC Financial Services Inc. |
|
|
| #0133-M |
03/28/05 |
Amalgamation |
Brownstone Investment Planning Inc. and Capital Investment Management Corporation |
|
|
| #0132-M |
03/23/05 |
Resignation |
Great Western Financial Corporation |
|
|
| #0131-P |
02/28/05 |
Policy |
MFDA Investor Protection Fund Update |
|
|
| #0130-M |
02/28/05 |
New Member |
FTC Investor Services Inc. |
|
|
| #0129-M |
02/21/05 |
Resignation |
The RGW Financial Group Ltd. |
|
|
| #0128-M |
02/21/05 |
Resignation |
Monarch Delaney Financial Inc. |
|
|
| #0127-M |
02/21/05 |
Resignation |
Craig & Taylor Financial Services Inc. |
|
|
| #0126-M |
02/08/05 |
Change of Name |
Roche Capital Planners Inc. to Audentium Financial Corp. |
|
|
| #0125-C |
02/04/05 |
Compliance |
Portus Alternative Asset Management Inc. - Additional Temporary orders |
|
|
| #0124-C |
02/03/05 |
Compliance |
Temporary Orders - Portus alternative Asset Management Inc. |
|
|
| #0123-M |
01/24/05 |
Member Information |
Reporting of Enforcement Related Issues; Complaints Reporting under MFDA Policy 3; Other Required Reports |
|
|
| #0122-P |
01/17/05 |
Policy |
Amendments to MFDA By-law No. 1 (For the Protection of Directors, Officers and Others) |
|
|
| #0121-P |
01/10/05 |
Policy |
Amendments to MFDA By-law No. 1 (Enforcement Process) |
|
|
| #0120-M |
01/07/05 |
Membership Information |
Agreements of Approved Persons |
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|
