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Tribunal orders $500,000 fine and $85,000 in costs for undisclosed conflict of interest

By Kate McCaffery | March 7, 2023, 10:50 a.m.
Flash | MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) | ONTARIO SECURITIES COMMISSION (OSC) | Disciplinary Decisions 
Mutual fund sales representative named the sole beneficiary of a vulnerable client’s estate.

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Flash
MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)
ONTARIO SECURITIES COMMISSION (OSC)
Disciplinary Decisions