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An Entity of Type : prov:Entity, within Data Space : webisa.webdatacommons.org associated with source dataset(s)

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  • Investigates possible dealer or marketplace misconduct by its dealer firms, approved persons and other market participants and can bring disciplinary proceedings which may result in penalties including fines, suspensions and permanent bans or terminations for individuals and firms. (Money from fines and settlements is contributed to IIROC???s restricted fund, which IIROC uses to fund capital expen
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