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Calgary firm ordered to pay $100K fine

By The IJ Staff | August 18 2020 03:00PM
Flash | MUTUAL FUNDS DEALERS ASSOCIATION OF CANADA (MFDA) | Disciplinary Decisions 
The MFDA has fined a Calgary firm $100,000 plus costs totaling $10,000. The company admitted that it did not maintain adequate supervisory policies and procedures regarding trade suitability.

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Flash
MUTUAL FUNDS DEALERS ASSOCIATION OF CANADA (MFDA)
Disciplinary Decisions