Conflict of interest leads to one-year ban, plus fines for fund rep

By The IJ Staff | January 20 2020 11:30AM
A Mutual Fund Dealers Association of Canada hearing panel announced it has approved a settlement agreement, with sanctions, between MFDA staff and a former rep who admitted he engaged in personal financial dealings with an elderly client.

This article is reserved to PRO Level subscribers

Read the whole article….


$9.95 / month

Related to the same topic …