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Regulator suspends branch manager for using pre-signed forms

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By The IJ Staff | Oct. 2, 2019, 2 p.m.

Flash | Mutual Funds | Investments | Life Insurance | MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) | THE INVESTMENT FUNDS INSTITUTE OF CANADA (IFIC) | PFSL | CANADIAN SECURITIES INSTITUTE (CSI) | Disciplinary Decisions

A branch manager has been fined $12,500 under a settlement agreement. He admitted to obtaining, and in some instances using, pre-signed account forms for seven different clients.

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