Crypto asset firm falsely claims to be IIROC-regulated.
The former Burlington, Ontario representative retired in April 2020 and is not currently registered.
IIROC also permanently banned the individual from registration in any capacity.
The former IIROC registered representative is also prohibited from working in supervisory positions for a period of 18 m
Quebec regulator, the AMF, clarified the transition to the new framework.
Two reps have agreed to pay a fine each of $10,000, disgorge $65,571.44 and pay costs totalling $5,000 after entering in
Regulators say existing continuing education requirements will continue once the new SRO made up of the MFDA and IIROC c