Sign in
FREE Membership Sign in
MENU

Regulator orders $275,000 fine

By Kate McCaffery | March 14, 2023, 10:44 a.m.
Flash | DESJARDINS | Disciplinary Decisions 
Borrowing money from clients and misleading member also ends in permanent ban.

This article is reserved to PRO Level subscribers

Discover the PRO Level
Advertisement
The most popular in Investment
Small mutual fund dealer fined for compliance failings
Industry association responds to Quebec’s draft dispute resolution regulation
Conflicts of interest end in two-year ban and financial penalties
Headlines
Regulators publish eighth study of women on boards and in executive positions
Service at Ontario regulator exceeds standards
FP Canada calls for achievement award nominations
Advertisement
Related topics …
Flash
DESJARDINS
Disciplinary Decisions