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Firm fined $175,000 plus costs

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By Kate McCaffery | Nov. 7, 2023, 10:13 a.m.
Flash | CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO) | Regulation | Disciplinary Decisions 
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Books, records and operational controls deficient in repeat field examinations.

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Flash
CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO)
Regulation
Disciplinary Decisions