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One of 27 IAs and B-Ds fined for failing to file Form CRS
Canton Hathaway failed to comply with the Requirements by its regulatory deadlines, and began complying only after the Division of Examinations (“EXAMS”) contacted the firm regarding the failure to file its Form CRS. Specifically, EXAMS contacted Canton Hathaway’s Chief Compliance Officer by email on October 14, 2020 to alert him that the firm had failed to file Form CRS. Canton Hathaway, however, still did not file its Form CRS
