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IIROC fines representative for failing to flag suspicious trading

By The IJ Staff | September 25 2020 09:19AM
Flash | IA FINANCIAL GROUP | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | Disciplinary Decisions 
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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IA FINANCIAL GROUP
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
Disciplinary Decisions