And then there’s this case of client abuse, caught by an investment dealer’s compliance review. Why isn’t #IIROC worried about the recurring problem and taking measures to prevent it and warn investors about it?
Today it's MFDA salesperson #AdaTse of #Investia who admitted to 24 pre-signed account forms plus alterations to forms without client initials. She was caught in a standard branch review - good work the compliance officer and by the dealer! What's so hard about following clear and simple rules? How come #IIROC doesn't worry about their registrants doing this? #compliance #MFDA #CSA #OSC #ASC #BCSC