No evidence of client complaint, loss, or lack of authorization identified, says regulator.

Regulator says there is no evidence of financial loss by clients or any other individuals.

Changed client contact information to avoid negative feedback.

Dealing representative banned permanently for failing to renounce legacies quickly enough.

Markham, Ontario representative also the ultimate designated person and chief compliance officer.

Books, records and operational controls deficient in repeat field examinations.

Gives former dealing representative until May 2025 to pay sanctions.