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  1. CIRO is overseeing firm compliance standards and a settlement regarding alleged supervision failures involving RBC Dominion Securities.

RBC Dominion Securities failed to supervise futures trading activities of its representatives, leading to scrutiny from CIRO.

1 report, 1 independent Updated Aug 14
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What happened

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RBC Dominion Securities failed to supervise futures trading activities of its representatives, leading to scrutiny from CIRO.

Who's involved

What this event is mainly about
RBC Dominion Securities

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CIRO is overseeing firm compliance standards and a settlement regarding alleged supervision failures involving RBC Dominion Securities. All 2 developments

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