Sign in
FREE Membership Sign in
MENU

Portfolio manager fined $250,000

By The IJ Staff | October 01 2020 02:09PM
Flash | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | NATIONAL BANK | CANACCORD GENUITY | Disciplinary Decisions 
The Investment Industry Regulatory Organization of Canada has fined a portfolio manager $250,000, plus costs in the amount of $50,000, and has ordered him to pay for a compliance audit of his practice.

This article is reserved to PRO Level subscribers

PRO Level’s multiple privileges

For only $9.95/month

  • Checkmark Access to Flash news including: scoops, people on the move, disciplinary decisions, magazine supplements, exclusive reports and financial tables.
  • Checkmark Insurance Journal and its original content in paper and digital versions.
  • Checkmark Substantial discounts on all of our other products and services, including our annual events.
  • Checkmark PRO Level access on Portail-assurance.ca which offers you the same privileges as mentioned above, but in French for the Quebec market.
Advertisement
The most popular in Investment
Alterna-Member Savings merger now official
Bernard Letendre takes on global responsibilities at Manulife
Mackenzie launches new fund
Headlines
CI vice-president moves to Groupe Cloutier
RBC GAM expands fixed income product lineup
Annuity products: 14 insurers in the game
Advertisement
Related topics …
Flash
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
NATIONAL BANK
CANACCORD GENUITY
Disciplinary Decisions