FREE Membership Sign in

JavaScript is disabled in your browser.

In order visualise this page, please follow these steps.

Regulator orders nearly $2.5-million in fines and costs for misappropriation

By Kate McCaffery | March 7, 2023, 3:55 p.m.

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

Representative also permanently banned from both registration and future employment.

This article is reserved to PRO Level subscribers

Discover the PRO Level

The most popular in Investment

Small mutual fund dealer fined for compliance failings

Regulator orders $275,000 fine

Headlines

Related topics …

Flash

Service at Ontario regulator exceeds standards

Ontario regulator orders $90,000 in fines

More taxpayers affected by government debt recovery

Regulator publishes compliance report for dealers

Regulation

Regulatory target timeframes published

Actuaries model new pension legislation impact

Disciplinary Decisions

Regulator orders $275,000 fine

Firm and agent each fined for unlicensed activity

Choose your payment method