Signed Account Forms. 10. At all material times, the Member’s policies and procedures prohibited its Approved Persons from holding, obtaining, or using pre-signed account forms.
Signed Account Forms. 9. 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. 9. 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. 9. At all material times, FundEX’s policies and procedures prohibited its representatives, including the Respondent, from obtaining, possessing or using, blank or partially incomplete pre- signed forms.
Signed Account Forms. 10. 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. 10. 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. 9. At all material times, Quadrus’ policies and procedures prohibited its Approved Persons, including the Respondent, from holding, obtaining, or using pre-signed account forms.
Signed Account Forms. 12. At all material times, Investors Group’s policies and procedures prohibited its Representatives, including the Respondent, from possessing blank or partially blank pre-signed forms.
Signed Account Forms. 9. Between September 2007 and November 2011, the Respondent obtained and used to process transactions, 11 pre-signed Redemption Request forms in respect of 6 clients. PFSL’s Investigation
Signed Account Forms. 10. At all material times, Credential’s policies and procedures prohibited its Approved Persons from using pre-signed blank or partially completed forms to conduct business.
