Signed Account Forms. Between December 2003 and September 2015, the Respondent obtained, possessed and, in some instances, used to process transactions, 15 pre-signed account forms in respect of 10 clients.
Signed Account Forms. At all material times, the Member had policies and procedures that prohibited its Approved Persons from obtaining or using pre-signed account forms.
Signed Account Forms. At all material times, Investors Group’s policies and procedures prohibited its Approved Persons, including the Respondent, from obtaining and using pre-signed account forms.
Signed Account Forms. At all material times, Sun Life’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding, obtaining, or using pre-signed account forms.
Signed Account Forms. At all material times, FundEX’s policies and procedures prohibited its Approved Persons, including the Respondent, from obtaining or using pre-signed account forms.
Signed Account Forms. At all material times, PFSL’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding, obtaining, or using pre-signed account forms.
Signed Account Forms. At all material times, Investia’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding and using pre-signed account forms.
Signed Account Forms. At all material times, the Member’s policies and procedures prohibited the use of pre- signed forms.
Signed Account Forms. At all material times, Quadrus’ policies and procedures prohibited its Approved Persons, including the Respondent, from obtaining, holding, or using pre-signed account forms.
Signed Account Forms. Between December 2010 and October 2013, the Respondent obtained and used to process transactions, 13 pre-signed Redemption Request forms in respect of 2 clients.
