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Vancouver mutual fund dealer hit with $35,000 fine for account violations
By Graeme Wood / Glacier Media
Nearly 200 trades conducted without client’s approval
The Mutual Fund Dealers Association (MFDA) has fined Vancouver-based registered dealer Kindle Blythe $35,000 for not exercising due diligence, processing unauthorized trades and falsifying records. The fine, announced Monday upon approval by a hearing panel, far exceeds any issued to a dealer in B.C. by the self-regulatory agency in 2019.…
Source:: Vancouver mutual fund dealer hit with $35,000 fine for account violations
January 8, 2020
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