Firms have until December 31, 2024 to make all necessary updates.
Canadian Securities Administrators notice also discusses investor protection fund developments.
Representative ignored branch manager and processed trades for client who died.
Marilyn Stuart permanently banned from any trading or acting as an officer or director.
Terminated and retired representative sanctioned for not participating in investigation.
Announcement states there are reasons to believe agent won’t conduct business lawfully.
Facilitated trade that allowed client’s spouse to abscond with $10,000.