Investment regulator imposed $14M in enforcement penalties in latest fiscal year

The Canadian PressThe S&P TSX composite index screen at the TMX Market Centre in Toronto is photographed on Friday, Nov.11, 2022.

The Canadian Investment Regulatory Organization says the total also includes imposed costs and the forced return of ill-gotten profits. Enforcement efforts included a $2 million fine against Fortrade Canada for recommending a high-risk product to unsophisticated retail clients, and a $1.7 million fine and permanent ban on securities-related business against Paul Walker for a range of misconduct including soliciting more than $1.5 million in investments for an outside business activity.

ประเทศไทย ข่าวล่าสุด, ประเทศไทย หัวข้อข่าว

Similar News:คุณยังสามารถอ่านข่าวที่คล้ายกันนี้ซึ่งเรารวบรวมจากแหล่งข่าวอื่น ๆ ได้

Canada’s investment product regulator imposed $14-million in enforcement penalties in latest fiscal yearThe Canadian Investment Regulatory Organization says the total also includes imposed costs and the forced return of ill-gotten profits
แหล่ง: globebusiness - 🏆 31. / 66 อ่านเพิ่มเติม »