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Former rep sanctioned for discretionary trading

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By Kate McCaffery | July 5, 2022, 10:29 a.m.
Flash | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | Disciplinary Decisions 
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Although the client asked not to be bothered with every trade, the representative failed to obtain written authorization for his conduct.

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INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
Disciplinary Decisions