The Respondent admits Sample Clauses

The Respondent admits. (i) from 2002 to at least April 2007, he obtained 43 blank or partially completed pre- signed trade forms for 30 clients, and maintained the said forms until November 1, 2007, contrary to MFDA Rule 2.1.1;
Sample 1
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The Respondent admits a) between August 22, 2014 and September 15, 2014, the Respondent processed 3 authorized discretionary trades as part of a dollar-cost averaging strategy in relation to 1 client, contrary to MFDA Rules 1.1.2, 2.5.1, 2.3.1, and 2.1.1;
Sample 1
The Respondent admits a) Between January and April 2015, the Respondent entered into a referral arrangement with a third party, referred at least 11 clients to the third party and received compensation from the third party, all of which occurred outside the facilities of the Member, thereby engaging in conduct contrary to the Member’s policies and procedures, MFDA Rules 1.1.2, 2.5.1, 2.4.2, and 2.1.1, and sections 13.7 and 13.8 of National Instrument 31-103;
Sample 1
The Respondent admits i. from December 2015 to February 2017, the Respondent processed 43 transactions in respect of 38 clients as redemptions and purchases, rather than as switches, which exposed the clients to risk of market loss and which the Respondent knew would result in the transactions counting towards the Member’s sales targets for the Respondent, contrary to the Member’s policies and procedures, and MFDA Rules 2.1.4, 2.1.1, 1.1.2 and 2.5.1; and
Sample 1
The Respondent admits a) between March 2014 and May 2015, the Respondent who was a Branch Manager obtained, possessed, and used to process transactions, 3 pre-signed account forms in respect of 2 clients, contrary to MFDA Rule 2.1.1.
Sample 1

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