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Unsuitable client trades end in sanctions for IIROC-registered rep

By The IJ Staff | Jan. 15, 2020, 10:06 a.m.

Flash | Investments | Life Insurance | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | Disciplinary Decisions

IIROC has announced sanctions against a representative who failed to use due diligence to learn and remain informed of the essential facts about a client whose account was being managed by a power of attorney.

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