Title protection framework work focused on approving credentialing bodies

Mutual fund representative also ignored regulator’s investigation into his conduct.

Firm also accessed another firm’s back office using would-be rep’s login credentials.

Mislead his firm about the source of funds after depositing client’s bank draft into his own account.

Recognition order, interim rules and fee guidelines published.

Regulator also levies more than $70,000 in sanctions for potential conflicts of interest.

Experienced dealing representative fined $50,000 for trades made to maintain model portfolios.