IIROC finds portfolio manager liable for altering signed documents
By The IJ Staff | Feb. 10, 2020, 12:54 p.m.
The Investment Industry Regulatory Organization of Canada (IIROC) published its reasons for finding a portfolio manager liable after a hearing panel found he inappropriately altered documents after they were signed, and knowingly represented that clients had signed documents when that was not the case.
This article is reserved to PRO Level subscribers
The most popular in Investment
Related topics …