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Regulator fines and bans retired rep

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By The IJ Staff | June 9, 2021, 3:30 p.m.
Flash | MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) | INVESTMENT PLANNING COUNSEL (IPC) | Disciplinary Decisions 
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The Mutual Fund Dealers Association of Canada has sanctioned a former representative who admitted to selling promissory notes that were not approved by his dealer.

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Flash
MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)
INVESTMENT PLANNING COUNSEL (IPC)
Disciplinary Decisions