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Rep sanctioned for ignoring compliance and defying regulator’s orders

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By The IJ Staff | May 17, 2022, 10:30 a.m.
Flash | MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) | Disciplinary Decisions 
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Former firm owner also fined $20,000 for ignoring MFDA orders and his own chief compliance officer’s recommendations.

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Flash
MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)
Disciplinary Decisions