FINTRAC fines securities dealer
Compliance review found violations due to weaknesses in policies and procedures
- By: James Langton
- June 13, 2025 June 13, 2025
- 10:43
Compliance review found violations due to weaknesses in policies and procedures
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Trust account used in fraud, misappropriation, Law Society finds
Policy failed to cover hedge fund investment that turned out to be a fraud
Firm allegedly touted stocks on social media, while selling its holdings
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