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IIROC fines firm $500,000

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By The IJ Staff | July 6, 2020, 1:39 p.m.
Flash | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | RICHARDSON | Investment | Disciplinary Decisions 
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A Hearing Panel of the Investment Industry Regulatory Organization of Canada has sanctioned a firm $500,000 plus costs for supervisory failures.

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Related topics …
Flash
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
RICHARDSON
Investment
Disciplinary Decisions