呼叫爱生活

精打细算

今天老板心情如何？ 没挨骂吧？
; Y. L, k! N% Z- j8 z
! k- [( m$ B0 J. \5 {. V; a贵公司被IDA罚款了

(July 9, 2007) The Investment Dealers Association has issued a fine of $80,000 against investment dealer Canaccord Capital, over failure to supervise.

3 I8 g4 M' K# @9 L; Z- g% U4 hThe IDA announced recently that Canaccord admitted that it failed to properly supervise a pro account between November 2001 and 2002, and it engaged in business conduct that was detrimental to the public interest.
' m  p3 o  J, W" S; P/ r
7 C8 S$ s7 Q( p) ?% xCanaccord failed to restrict a trading strategy, which it should have known was unfair to other market participants and contrary to the public interest. The company also failed to create procedures that would enable it to determine if trading in the account was fair to other market participants.
6 S4 R7 c7 c) B5 v
) P- `2 T- T. c6 l7 h" O% Z' b) j" `Above its fine, the company is required to pay $5,000 in additional costs.