TORONTO, Nov. 5, 2024 /CNW/ - Following a settlement hearing pursuant to the Investment Dealer and Partially Consolidated Rules and the Universal Market Integrity Rules (UMIR) held on September 20, 2024, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) found that RBC Dominion Securities Inc. (RBC DS) engaged in trades of shares on behalf of Canadian investors, which occurred other than by the entry of an order on a marketplace, without seeking a regulatory exemption from CIRO for the trades to be done off-market.
Read more at newswire.cahello world
Provided Content: Content provided by Newswire.ca. The Globe and Mail was not involved, and material was not reviewed prior to publication.
