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IIROC fines representative for failing to flag suspicious trading

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By The IJ Staff | Sept. 25, 2020, 9:19 a.m.
Flash | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | IA FINANCIAL GROUP | Disciplinary Decisions 
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IIROC has fined and sanctioned an Industrial Alliance Securities representative $50,000 after he admitted he failed to fulfill his gatekeeper responsibilities to IIROC-regulated marketplaces.

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Flash
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
IA FINANCIAL GROUP
Disciplinary Decisions