- The proposed Settlement Agreement concerns allegations that:
- between January 2009 and June 2015, the Respondent obtained, possessed, and in some instances, used to process transactions, 16 pre-signed account forms in respect of 9 clients, contrary to MFDA Rule 2.1.1; and
- in April 2015, the Respondent falsified one (1) account form in respect of two (2) clients by altering information on the account form without having the clients initial the alterations, contrary to MFDA Rule 2.1.1.
- The hearing is open to the public, unless and to the extent that the Hearing Panel determines that all or part of the hearing should proceed in the absence of the public. If the Hearing Panel accepts the Settlement Agreement, then copies of the decision of the Hearing Panel and the Settlement Agreement will be made available to the public.
Sarah RickardSarah RickardDirector of Regional Councils
Mutual Fund Dealers Association of Canada
121 King St. West, Suite 1000
Toronto, ON M5H 3T9
E-mail: [email protected]