Contraventions. 4. The Respondent admits to the following violations of the By-laws, Rules or Policies of the MFDA:
Contraventions. The execution, delivery and performance by each Group Company of the Finance Documents do not:
Contraventions. In case the trustee establishes that the domain name as such or the contents posted on the web site accessible via the domain name contravene applicable law, in particular penal regulations, he has the right to have the domain deleted without any prior warning and to terminate this contract with immediate effect.
Contraventions. 4. The Respondent admits to the following violations of the Mutual Fund Dealer Rules1:
Contraventions. 20. The Respondent admits that,
Contraventions. 4. The Respondent admits to the following violations of the By-laws, Rules or Policies of the MFDA: Between November 2018 and June 2019, the Respondent altered client contact information on the Member’s system without the knowledge or authorization of the client, which had the effect of avoiding the Member’s supervisory and training controls and impacted its ability to communicate with clients, contrary to MFDA Rules 2.1.1, and 2.1.4.1
Contraventions. The execution, delivery and performance by each Security Company of the Financing Documents and Material Contracts to which it is a party does not:
Contraventions. 22. In or about August 2002, the Respondent forged the signature of 7 clients on various letters of authorization regarding securities transfers and also guaranteed the signature of 20 clients without witnessing or properly authenticating those signatures, thereby engaging in conduct unbecoming a registrant or detrimental to the public interest, contrary to Association By-law 29.1.
Contraventions. 4. The Respondent admits to the following violations of the By-laws, Rules or Policies of the MFDA: Between August 2016 and May 2017, the Respondent opened a new Tax-Free-Savings- Account and processed two mutual fund purchases in respect to a client who was a non- resident of Canada, which the Respondent was not permitted to do pursuant to the policies and procedures of the Member, and MFDA Rules 2.2.11, 2.1.1 and 1.1.2 (as it relates to MFDA Rule 2.5.1) (now Mutual Fund Dealer Rules 2.2.1(1), 2.1.1, 1.1.2 and 2.5.1).
Contraventions. 4. The Respondent admits to the following violations of the By-laws, Rules or Policies of the MFDA: Between July 2017 and June 2019, the Respondent engaged in personal financial dealings with clients by borrowing monies from clients, which gave rise to conflicts or potential conflicts of interest that she failed to disclose to the Member or otherwise ensure were addressed by the exercise of responsible business judgment influenced only by the best interest of the clients, contrary to the policies and procedures of the Member and MFDA Rules 1.1.2, 2.1.1, 2.1.41, and 2.5.1.
