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Altered forms without initials nets rep a $12k fine

By The IJ Staff | Jan. 28, 2021, 10:19 a.m.
Flash | MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) | THE INVESTMENT FUNDS INSTITUTE OF CANADA (IFIC) | DESJARDINS | CANADIAN SECURITIES INSTITUTE (CSI) | Disciplinary Decisions 
An MFDA hearing panel has fined a mutual fund representative after he admitted making changes to client forms without getting clients to initial those alterations.

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Flash
MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)
THE INVESTMENT FUNDS INSTITUTE OF CANADA (IFIC)
DESJARDINS
CANADIAN SECURITIES INSTITUTE (CSI)
Disciplinary Decisions