Topic
regulatory-hearing
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foxnews.comfinance13 hrs agoDeveloping
CIRO Schedules Hearing to Review Settlement Agreement With Advisor Sanjeev Kumar Tejpal
A hearing panel of the Canadian Investment Regulatory Organization will consider a settlement agreement between its enforcement staff and Sanjeev Kumar Tejpal. The agreement addresses an allegation that Tejpal failed to ensure mutual fund purchases subject to a deferred sales cha…