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

The Divisional Court and Capital Markets Tribunal are reviewing CIRO's enforcement rulings regarding firm compliance standards.

2 reports, 1 independent Updated Jul 6
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2
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1
Repetition
50%

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The Divisional Court and Capital Markets Tribunal are reviewing CIRO's enforcement rulings regarding firm compliance standards.

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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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