In a wide-ranging interview covering topics from the gamification of trading to advisor proficiency, Paul Bourque, outgo
Representative sanctioned for reusing signature pages and for altering client forms without obtaining client initials.
Forms signed in 2017 discovered in 2021 file review.
Dealing representative also prohibited from acting as branch manager for 18 months after the discovery of pre-signed for
The head of the new SRO that merges the IIROC and the MFDA, says it will not force any firm to change its basic foundati