Sign in x
FREE Membership Sign in
MENU

Portfolio manager fined $250,000

Megaphone
Visibility360, PDF version to share
By The IJ Staff | Oct. 1, 2020, 2:09 p.m.
Flash | NATIONAL BANK | CANACCORD GENUITY | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | Disciplinary Decisions 
Megaphone
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

Discover the PRO Level
Advertisement
The most popular in Investment
Sanctions for pre-signed forms levied against former Fredericton rep
Firms, associations and reps weigh in on advisor compensation
Rep fined for out of province trading, pre-signed forms and form alterations
Megaphone

Make your business shine with Visibility360!

Get a PDF version to share in your networks.

I'm interested
Headlines
Quebec flood zone map raises concerns even before its release
Tips for increasing your firm’s value
Agent who defrauded retired couple banned from securities registration
Advertisement
Related topics …
Flash
NATIONAL BANK
CANACCORD GENUITY
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
Disciplinary Decisions