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.
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