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Discretionary trading lands investment representative $15,000 fine

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By Mehreen Shahid | Aug. 17, 2023, 10:26 a.m.
Flash | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | BMO | CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO) | Disciplinary Decisions 
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Regulator says use of unapproved sales materials contrary to rules.

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Flash
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
BMO
CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO)
Disciplinary Decisions