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Regulator levies two fines for discretionary trading and misleading investigators

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By Kate McCaffery | Feb. 8, 2023, 3:10 p.m.
Flash | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | Disciplinary Decisions 
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Liability decision resulted in the end of respondent’s employment in the industry.

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INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
Disciplinary Decisions