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company name: CIM in connection with failures to comply with its best execution obligation, which requires dealers and advisers to execute trades for clients on the most advantageous terms reasonably available under the circumstances, according to The Independent. As part of its settlement with the OSC, CIM has agreed to pay an administrative penalty of CAD 1,800,000 plus a further CAD 250,000 towards the cost of the OSC's investigation. Search first keyup' ; ; listener ; ;No matching results for ''Tip Try a valid symbol or a specific company name for relevant results Cancel Sign in Mailif window.performance window.performance.mark && && Finance Techif window.performance window.performance.mark && && U.S. Markets closedS&P window.performance window.performance.mark && && window.performance window.performance.mark && && window.performance window.performance.mark && && window.performance window.performance.mark && && window.performance window.performance.mark && && window.performance window.performance.mark && && window.performance window.performance.mark && && Investment Management Ltd. to pay 1.8M for violating trade execution rulesif window.performance window.performance.mark && && Group July 19, 2019if window.performance window.performance.mark && && window.performance window.performance.mark && && window.performance window.performance.mark && && window.performance window.performance.mark && && July 19, 2019 /CNW/ - A Panel of the Ontario Securities Commission OSC today approved a settlement agreement with Caldwell Investment Management Ltd. Additionally, CIM has agreed to terms and conditions being imposed on its registration, which include a requirement to pay for an independent consultant, approved by OSC staff, to review and test CIM's new best execution procedures. CSL its own related investment dealer, when in many cases unaffiliated dealers offered better commission rates and bond spreads. In settling this matter, CIM admits that over an almost four year period from January 1, 2013 to November 15, 2016 it failed to provide best execution of equity and bond trades for its clients by directing most of its client trades through Caldwell Securities Ltd. (news.financializer.com). As reported in the news.