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Scotia was sanctioned for regulatory snafus after several deputies were fired. | Jobs Vox

[ad_1] According to the agreement, the company was found guilty of several misconducts and its control weaknesses were exposed. In particular, the company found representatives who manually changed their annual sales results. who set up pre-authorized contribution plans (PACs) before the first contribution was made and immediately canceled them; and treated certain transactions as redemptions … Read moreScotia was sanctioned for regulatory snafus after several deputies were fired.

| Jobs Vox

MFDA on Scotia Securities Inc. The settlement hearing will issue a notice. | Jobs Vox

[ad_1] Toronto, December 19, 2022 /CNW/ – Mutual Fund Dealers Association of Kannada (“MFDA”) announced that it has issued a settlement hearing notice December 19, 2022Regarding the presentation, evaluation and consideration of the resolution proposed by the Hearing Panel of the Central Regional Council of MFDA. The agreement was signed by MFDA staff and Scotia … Read moreMFDA on Scotia Securities Inc. The settlement hearing will issue a notice.

| Jobs Vox

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