Chief investment officer ordered to pay $30,000 for unregistered activities

By Kate McCaffery | July 8, 2022, 2:48 p.m.

Flash | BRITISH COLUMBIA SECURITIES COMMISSION (BCSC) | Disciplinary Decisions

Senior executive sanctioned for advising in securities without being registered.

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Small mutual fund dealer fined for compliance failings

Regulator orders $275,000 fine

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Regulator orders $275,000 fine

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