Discussing a Disciplinary Case in the Securities Industry

What caused the events in the case to lead to disciplinary action

Your group has been assigned a disciplinary case that either has been or is currently being dealt with by the MFDA. Carefully read all the relevant details of your case. Refer to all the material that we have studied so far in the CPH course, as well as other relevant information that you learned in previous securities related courses at the college, especially FIN3004 (Investment Funds in Canada course). Discuss what caused the events described in this case to lead to this disciplinary process. Be sure to discuss how the (alleged) offender should have acted/behaved in their particular situation to avoid the action being taken by the MFDA. The MFDA disciplinary case that you have been assigned is: In The Matter Of: The Mutual Fund Dealers Association of Canada and Blair Harcourt Addison Part 2: Suppose that the above situation had occurred with the respondent working at a firm where IIROC has jurisdiction (such as CIBC Wood Gundy) rather than at a firm where the MFDA has jurisdiction. Identify the IIROC rules and regulations that would have been breached by the respondent. How do you think this case would have been concluded if it was investigated and prosecuted under IIROC’s jurisdiction? You may wish to use parallels from previous IIROC cases that you have reviewed (i.e. use other cases as precedents). Your group has been assigned a disciplinary case that either has been or is currently being dealt with by the MFDA. Carefully read all the relevant details of your case. Refer to all the material that we have studied so far in the CPH course, as well as other relevant information that you learned in previous securities related courses at the college, especially FIN3004 (Investment Funds in Canada course). Discuss what caused the events described in this case to lead to this disciplinary process. Be sure to discuss how the (alleged) offender should have acted/behaved in their particular situation to avoid the action being taken by the MFDA. The MFDA disciplinary case that you have been assigned is: In The Matter Of: The Mutual Fund Dealers Association of Canada and Blair Harcourt Addison Part 2: Suppose that the above situation had occurred with the respondent working at a firm where IIROC has jurisdiction (such as CIBC Wood Gundy) rather than at a firm where the MFDA has jurisdiction. Identify the IIROC rules and regulations that would have been breached by the respondent. How do you think this case would have been concluded if it was investigated and prosecuted under IIROC’s jurisdiction? You may wish to use parallels from previous IIROC cases that you have reviewed (i.e. use other cases as precedents). art 1: Your group has been assigned a disciplinary case that either has been or is currently being dealt with by the MFDA. Carefully read all the relevant details of your case. Refer to all the material that we have studied so far in the CPH course, as well as other relevant information that you learned in previous securities related courses at the college, especially FIN3004 (Investment Funds in Canada course). Discuss what caused the events described in this case to lead to this disciplinary process. Be sure to discuss how the (alleged) offender should have acted/behaved in their particular situation to avoid the action being taken by the MFDA. The MFDA disciplinary case that you have been assigned is: In The Matter Of: The Mutual Fund Dealers Association of Canada and Blair Harcourt Addison Part 2: Suppose that the above situation had occurred with the respondent working at a firm where IIROC has jurisdiction (such as CIBC Wood Gundy) rather than at a firm where the MFDA has jurisdiction. Identify the IIROC rules and regulations that would have been breached by the respondent. How do you think this case would have been concluded if it was investigated and prosecuted under IIROC’s jurisdiction? You may wish to use parallels from previous IIROC cases that you have reviewed (i.e. use other cases as precedents).