Representative pays $19,000 fine plus costs for photocopied signature pages

Regulator warns that those who engage in similar conduct will face meaningful penalties.

INVESTMENT | August 01 2023 10:33AM
Pre-signed forms met with very different sanctions in different cases

35 pre-signed forms costs representative $10,000; thousands of forms attracts $70,000 sanction.

INVESTMENT | July 27 2023 03:30PM
Photocopied signatures costs dealing representative $24,000

Employed since 1997, representative sanctioned for 2020 improprieties uncovered during review.

INVESTMENT | April 11 2023 10:46AM
Canada Life appoints new Quadrus CEO

Insurer’s mutual fund dealer recruits former TD head.

LIFE INSURANCE | February 06 2023 10:50AM
Remedial education and fine ordered for branch manager

Dealing representative also prohibited from acting as branch manager for 18 months after the discovery of pre-signed for…

INVESTMENT | October 25 2022 12:30PM
Representative fined $30,000 for photocopying signature pages

Mutual Fund Dealers Association of Canada imposes sanctions in response to audit which also discovered pre-signed forms …

INVESTMENT | May 27 2022 04:11PM
Supervisor sanctioned for enabling stealth advice

He allowed and helped an unregistered representative to transfer accounts and conduct business for four clients.

INVESTMENT | May 26 2022 04:08PM