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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.

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INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
NATIONAL BANK
CANACCORD GENUITY
Disciplinary Decisions