Topic
regulatory-hearing
1 stories related to this topic, newest first.
foxnews.comfinance69 days ago
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…