Industry

XTF launches convertible bond ETF

XTF Capital Corp. has launched the Canadian Convertible Liquid Universe ETF, Canada’s first Convertible Bond ETF. It will begin trading on the TSX on June 7. “The Convertible Bond XTF is unique to Canada,” said Barry Gordon, president and CEO of XTF Capital Corp. and its parent company, First Asset. “Our deep experience with convertible […]

By Staff |June 6, 2011

1 min read

MFDA issues reasons in matter of Chris McAuley

A hearing panel of the MFDA’s Central Regional Council has issued its reasons for decision in connection with the disciplinary hearing held in Toronto, Ontario on March 23, 2011 in the matter of Chris. M. McAuley. Read a copy of the Reasons for Decision.

By Staff |June 3, 2011

1 min read

MFDA makes findings against Mark Lindsay

The MFDA commenced a disciplinary proceeding in respect of Mark Lindsay by notice of hearing dated February 23, 2011. After hearing submissions from staff of the MFDA, the hearing panel found that the following allegations in the notice of hearing had been established: Allegation #1: Between approximately October 2007 and December 2008, the respondent failed […]

By Staff |June 3, 2011

2 min read

IIROC fines Cornacchia, Northern Securities

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has imposed penalties against Rocco Tony Cornacchia and, Northern Securities Inc., after finding that both had violated IIROC rules in the following manner: As penalties, the panel ordered that: Specifically, the panel determined the parties committed the following violations: IIROC began the investigation […]

By Staff |June 2, 2011

2 min read