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Re Kickers IN THE MATTER OF: The Dealer Member Rules of the Investment Industry Regulatory Organization of Canada (II ROC) and Bryan Andrew Kickers 2015 II ROC 29 Investment Industry Regulatory Organization

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What is enforcement notice - in?

Enforcement notice - in is a formal notification issued by a regulatory authority informing individuals or businesses of a violation of rules, regulations, or laws.

Who is required to file enforcement notice - in?

Any individual or business that is found to be in violation of rules, regulations, or laws is required to file an enforcement notice - in.

How to fill out enforcement notice - in?

To fill out an enforcement notice - in, individuals or businesses must provide detailed information about the violation, actions taken to remedy the situation, and any relevant supporting documentation.

What is the purpose of enforcement notice - in?

The purpose of enforcement notice - in is to notify individuals or businesses of violations, ensure compliance with regulations, and prevent future violations.

What information must be reported on enforcement notice - in?

The enforcement notice - in must include details of the violation, actions taken to address it, any penalties imposed, and a deadline for compliance.

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