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TORONTO, April 22, 2026 /CNW/ – On March 26, 2026, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) held a hearing pursuant to the Mutual Fund Dealer Rules and accepted a settlement agreement, with sanctions, between Enforcement Staff and PFSL Investments Canada Ltd. (PFSL).
PFSL Investments Canada Ltd. admitted that:
(a) In relation to redemptions processed in the accounts of a client, PFSL’s internal supervisory controls did not detect that the …
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