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Outside activities, accepting monies from issuer leads to $20,000 fine

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By Kate McCaffery | Aug. 11, 2023, 10:09 a.m.
Flash | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO) | Disciplinary Decisions 
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Regulator also orders commission disgorgement of $35,500.

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Flash
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO)
Disciplinary Decisions