The Investment Industry Regulatory Organization of Canada (IIROC) has fined an Ontario rep $30,000 for due diligence shortcomings On June 10, an IIROC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and Derek Axford. Axford admitted that from April 2010 to August 2011 while he was a registered representative with a London, […]
Online tool designed to help clients understand financial credentials and titles
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