In The Matter Of:

The Mutual Fund Dealers Association of Canada

and

Blair Harcourt Addison

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?