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IIROC fines, suspends portfolio manager for tampering with client files

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By The IJ Staff | Dec. 13, 2019, 9:56 a.m.
Flash | NATIONAL BANK | CANACCORD GENUITY | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | Disciplinary Decisions 
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The Investment Industry Regulatory Organization of Canada announced that it has accepted a settlement agreement, with sanctions, between IIROC staff and a Winnipeg-based representative.

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Flash
NATIONAL BANK
CANACCORD GENUITY
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
Disciplinary Decisions