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    Brief: CIRO Sanctions RBC DS For Failing To Supervise Futures Trading Of Two Representatives

    Picture of Royal Bank of Canada logoRoyal Bank of Canada
    02/07/2026 19:01
    BRIEF-CIRO Sanctions RBC DS For Failing To Supervise Futures Trading Of Two Representatives
    July 2 (Reuters) - Canadian Investment Regulatory Organization: 
    • CANADIAN INVESTMENT REGULATORY ORGANIZATION: ACCEPTED SETTLEMENT AGREEMENT, WITH SANCTIONS, BETWEEN ENFORCEMENT STAFF & RBC DOMINION SECURITIES
    • CIRO: RBC DS ADMITTED IT FAILED TO SUPERVISE FUTURES TRADING ACTIVITIES OF TWO REGISTERED REPRESENTATIVES
    • CIRO: RBC DS AGREED TO PAY FINE OF $1.5 MILLION, DISGORGEMENT OF $1.8 MILLION  COSTS OF $100,000
    Source text: ID:nCNWzXQVta

     ((Reuters.Briefs@thomsonreuters.com;))

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