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Regulator fines advisor for discretionary trading

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By Kate McCaffery | Sept. 14, 2021, 3:41 p.m.
Flash | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | BMO | Disciplinary Decisions 
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He admitted to discretionary trading in several client accounts and to distributing sales and marketing materials to clients which had not been approved of by his firm.

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Flash
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
BMO
Disciplinary Decisions