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Failure to follow policies and procedures lands advisor in hot water

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By Mehreen Shahid | Aug. 15, 2023, 3:46 p.m.
Flash | MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) | CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO) | INVESTORS GROUP | Disciplinary Decisions 
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Regulator penalizes representative with $40,000 in fines for know-your-client failures.

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Flash
MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)
CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO)
INVESTORS GROUP
Disciplinary Decisions