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IIROC fines firm $500,000

By The IJ Staff | July 06 2020 01:39PM
Flash | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | Investment | Disciplinary Decisions 
A Hearing Panel of the Investment Industry Regulatory Organization of Canada has sanctioned a firm $500,000 plus costs for supervisory failures.

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INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
Investment
Disciplinary Decisions