AGREED FACTS Sample Clauses

AGREED FACTS. 7. Since November 2005, the Respondent has been registered in the securities industry. 8. Since November 2010, the Respondent has been registered in Ontario as a dealing representative with FundEX Investments Inc. (the “Member”), a Member of the MFDA. 9. At all material times, the Respondent conducted business in the Toronto, Ontario area. 10. Beginning in March 2018, the policies and procedures of the Member prohibited Approved Persons from altering any information on a signed document without having the client initial the document to show the change was approved. 11. Between February 2015 and June 2019, the Respondent altered and used to process transactions, 21 account forms in respect of 8 clients by altering information on the account forms without having the client initial the alterations. 12. The altered account forms included: 10 Letters of Direction, 5 Systematic Instruction Forms, 3 Order Entry Forms, 1 Registered Education Savings Plan (“RESP”) Educational Assistance Payment Form, 1 RESP Savings Plan Application Form and 1 New Client Application Form. 13. The alterations made by the Respondent consist of changes to: fund names, fund codes, Pre-Authorized Contribution (“PAC”) start dates, PAC amounts and PAC frequency. 14. At all material times, the Member’s policies and procedures prohibited holding pre-signed account forms. 15. Between September 2014 and February 2019, the Respondent obtained, possessed and in multiple instances, used to process transactions, 17 pre-signed account forms in respect of 8 clients. 16. The pre-signed account forms consisted of: 4 RESP Educational Assistance Payment Forms, 3 Know-Your-Client (“KYC”) Update Forms, 3 Estate Claim Forms, 2 Letters of ▇▇▇▇▇▇▇▇▇, ▇ Systematic Instruction Form, 1 Request for Commission Rebate, 1 Mutual Fund Application Form, 1 Transfer Authorization for Registered Investments and 1 Deregistration/Withdrawal Form. 17. On September 5, 2019, the Member conducted a review of all of the client files maintained by the Respondent, during which the Member identified the account forms which are the subject of this Settlement Agreement. 18. In or about October 2019, the Member placed the Respondent under strict supervision which the Member advises will continue until the conclusion of this MFDA proceeding. 19. On November 1, 2019, the Respondent signed an agreement with the Member wherein he acknowledged that he was subject to the terms of the Member’s strict supervision and further acknowledged th...

AGREED FACTS. 6. The Respondent was registered in New Brunswick as a mutual fund salesperson with Investia Financial Services Inc. (“Investia”) from August 20, 2004 until his resignation on August 19, 2008. During the period of registration, the Respondent had 1 client and completed only 1 transaction. 7. The Respondent is a co-owner (along with three other individuals) of a fishing camp called The Ledges Fishing Corp. (“The Ledges”). The Ledges is a company incorporated pursuant to the laws of New Brunswick. The Respondent is listed on corporate documents of The Ledges as its Vice-President. 8. On March 31, 2006, the Respondent became a Director of The Ledges. 9. On May 11, 2006, the Respondent completed and submitted Investia’s “Annual Review of Professional Activities” form. The Respondent did not disclose on the form his status as a co-owner of The Ledges and his position as Vice-President and Director of The Ledges. 10. Shortly thereafter, The Ledges offered for sale 18 preferred shares priced at $150,000 CDN per share. The preferred shares were offered for sale pursuant to an exemption from prospectus and registration requirements of the New Brunswick Securities Act. Ownership of a preferred share entitled the shareholder to specified fishing rights at The Ledges. 11. Between February 2007 and August 2007, The Ledges sold 13 of the 18 preferred shares. Twelve of the preferred shares were purchased by members of the public. The thirteenth share was purchased by another co-owner of The Ledges, ▇▇▇▇▇ ▇. ▇▇▇▇▇, the Respondent’s father. None of the investors was a client of Investia. A total of $1,950,000 was raised through the sale of the preferred shares. As far as the MFDA is aware, the remaining five preferred shares have yet to be sold. 12. The Respondent, in his capacity as Vice-President and a Director of The Ledges, was involved in explaining the details and terms of the preferred share offering to prospective investors. Thereafter, individuals who expressed interest in purchasing a preferred share were directed to counsel for The Ledges, which handled the preparation and execution of the legal documentation associated with the purchase. 13. In addition to meeting with prospective investors, the Respondent, in his capacity as Vice-President and a Director of The Ledges, signed, on behalf of The Ledges, all but one of the Subscription Agreements or Buy-Sell agreements completed by the investors. 14. The preferred shares were offered for sale pursuant to exemptio...

AGREED FACTS. HCC and Participant have heretofore entered into an HCC Participant Agreement dated effective March 31, 1995 (hereinafter called the "Participant Agreement").

AGREED FACTS. HCC and Participant have heretofore entered into an HCC Participant Agreement dated effective ________________ (hereinafter called the "Participant Agreement").

AGREED FACTS. Registration History

AGREED FACTS. Registration History 7. From July 12, 2007 to September 4, 2007, and since April 11, 2011, the Respondent has been registered in the securities industry. 8. Since April 11, 2011, the Respondent has been registered in British Columbia2 as a dealing representative with Sun Life Financial Investment Services (Canada) Inc. (the “Dealer Member”), a Dealer Member of the Corporation (formerly a Member of the MFDA). 9. At all material times, the Respondent conducted business in the Golden, British Columbia area. 10. At all material times, the Dealer Member’s policies and procedures provided:

AGREED FACTS. 1.1 Employer has the right to use certain software with related documentation (the "DPI Software Package") from DPI/TFS, Inc. (hereinafter referred to as "DPI"). The Software Package contains confidential information and trade secrets belonging to DPI.

AGREED FACTS. Registration History 7. Since 1993, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since 2006, the Respondent has been registered with FundEX Investments Inc. (“FundEX”), a Member of the MFDA. Since about 2009, the Respondent has also been registered in Alberta. 9. At all material times, the Respondent conducted business in the Hamilton, Ontario area.

AGREED FACTS. Registration History 7. Since September 2009, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) with Investia Financial Services Inc. (“Investia”), a Member of the MFDA. 8. At all material times, the Respondent conducted business in the Toronto, Ontario area. 9. Beginning in November 2013, Investia’s policies and procedures required that where any material changes are made to a client’s trade documents, they must be initialed by the client. 10. Between December 2009 and February 2017, the Respondent falsified, and used to process transactions, 22 account forms in respect of 17 clients by altering information on the account forms without having the client initial the alterations. 11. The falsified account forms consisted of new account application, order instruction, transfer authorization, systematic instruction, and Know-Your-Client update forms. 12. At all material times, Investia’s policies and procedures prohibited its Approved Persons from using pre-signed account forms. 13. Between March 2009 and December 2016, the Respondent obtained, possessed, and used to process transactions, 7 pre-signed account forms in respect of 6 clients. 14. The pre-signed account forms consisted of new account application, order instruction, and systematic instruction forms. 15. On March 14, 2017, Investia’s compliance staff identified the falsified and pre-signed forms that are the subject of this Settlement Agreement as a result of a routine branch audit. 16. As part of its investigation, Investia conducted a review of all of the client files serviced by the Respondent and sent letters to all of the clients who are current serviced by the Respondent to determine whether the Respondent had engaged in any unauthorized trading. No clients reported any concerns. 17. On May 24, 2017, Investia placed the Respondent under strict supervision. 18. On January 16, 2018, Investia issued a warning letter to the Respondent. 19. There is no evidence that the Respondent received any financial benefit from engaging in the misconduct described above other than the commissions or fees he would ordinarily be entitled to had the transactions been completed in the proper manner. 20. There is no evidence of client loss or lack of authorization. 21. The Respondent has not previously been the subject of MFDA disciplinary proceedings. 22. By entering into this Settlement Agreement, the Respondent has saved the MFDA the time, resourc...