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Altered forms without initials nets rep a $12k fine

By The IJ Staff | January 28 2021 10:19AM

Flash | DESJARDINS | MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) | THE INVESTMENT FUNDS INSTITUTE OF CANADA (IFIC) | 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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