Posted Aug 22nd, 2020 in the wire, thought leadership, 2020
Prior to joining the dental industry, I acted as counsel to one of Canada’s largest IIROC-regulated brokerage firms – a hyper regulated space in the financial industry where regulators and business stakeholders shared one ultimate goal: the protection of investors and their investments. Regulators monitored broker activities, conflicts, and investor-facing communication, holding brokers to high ethical and professional standards, and enforcing strict disciplinary actions if their rules or st...
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