Sign in x
FREE Membership Sign in
MENU

Rep sanctioned for third party app usage and failing to act as gatekeeper

Megaphone
Visibility360, PDF version to share
By Kate McCaffery | Sept. 22, 2022, 2:49 p.m.
Flash | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | MACKIE RESEARCH CAPITAL CORPORATION (MRCC) | Disciplinary Decisions 
Megaphone
More than $90,000 in fines, commission disgorgement and costs ordered after representative admits to ignoring red flags.

This article is reserved to PRO Level subscribers

Discover the PRO Level
Advertisement
The most popular in Investment
Ontario Securities Commission publishes summary report
AM Best report examines reinsurer’s capital challenges
Client complaint about forged signature leads to trouble with regulator
Megaphone

Make your business shine with Visibility360!

Get a PDF version to share in your networks.

I'm interested
Headlines
Growth in employer medical costs expected to slow in 2024
Manitoba closes consultation on title protection efforts
When politics and ratemaking collide
Advertisement
Related topics …
Flash
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
MACKIE RESEARCH CAPITAL CORPORATION (MRCC)
Disciplinary Decisions