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Regulator fines National Bank Financial $250,000 plus investigation costs

By Kate McCaffery | Oct. 20, 2022, 4:18 p.m.

Flash | NATIONAL BANK | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | Regulation | Disciplinary Decisions

Settlement agreement says firm’s policies provided guidance but did not provide adequate controls.

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Regulator fines National Bank Financial $250,000 plus investigation costs

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