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MFDA fines two advisors for failing to get client initials on changed forms

By The IJ Staff | February 03 2021 03:03PM
Flash | DESJARDINS | INVESTIA | MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) | Disciplinary Decisions 
In two separate cases, the Mutual Fund Dealers Association of Canada has fined advisors who altered account forms without getting clients to initial the alterations.

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Disciplinary Decisions