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Rep reprimanded by regulator and charged $200,000 by firm

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By Kate McCaffery | March 1, 2024, 8:44 a.m.
CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO) | Disciplinary Decisions 
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Firm levies its own internal penalties for using WhatsApp and failing as gatekeeper.

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CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO)
Disciplinary Decisions