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Re Seto 2026 CIRO 06 by Jason is a document available to read on EtoBox.

What is Re Seto 2026 CIRO 06 about?

Wei (Wendy) Seto, a Registered Representative at RBC Dominion Securities, engaged in prohibited personal financial dealings with five clients from December 2019 to April 2021, totaling approximately $650,000 CAD without disclosure to her employer. Following an investigation prompted by unrelated complaints, she was terminated in November 2023 and subsequently entered into a Settlement Agreement with the Canadian Investment Regulatory Organization, agreeing to a $75,000 fine and a one-month suspension. The H

Author

Jason

Language

EN