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bigcaat bigcaat
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6 years ago
Mandy had her securities licence suspended by the securities commission, yet she continues to buy and sell stock as an investment dealer. Mandy certainly
a. has committed a criminal offence.
b. will have all her stock trades cancelled and/or reversed.
c. will be barred for life from working in the securities industry in Canada.
d. must go up before the discipline committee of the securities commission.
e. will face private discipline by the investment house where she is an agent.
Textbook 
The Law and Business Administration in Canada

The Law and Business Administration in Canada


Edition: 14th
Authors:
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AlexStanfordAlexStanford
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6 years ago
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