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Regulator fines firm $300,000 for inadequate complaint handling

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By Kate McCaffery | March 26, 2024, 10:18 a.m.
Flash | CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO) | TD | Regulation | Analytic 

Photo: Adobe Stock

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Respondent outsourced complaint handling in 2017.

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CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO)
TD
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Analytic