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Using pre-signed forms results in $14K fine for advisor

By Al Emid | August 17 2020 02:00PM
Flash | MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) | Investment | Disciplinary Decisions 
The MFDA has fined an advisor $14,000 plus costs after he admitted he altered and used account forms without having clients initial the alterations, and also used pre-signed forms.

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