TORONTO, May 15, 2013 /CNW/ - The MFDA today announced that it has
commenced disciplinary proceedings in respect of Alain Armand Joseph
Theroux (the "Respondent"). MFDA staff alleges in its Notice of Hearing
that the Respondent engaged in the following conduct contrary the
By-laws, Rules or Policies of the MFDA:
Allegation #1: Commencing April 2012, the Respondent has failed or refused to provide
documents and information to the MFDA and to attend an interview
requested by the MFDA during the course of an investigation, contrary
to s. 22.1 of MFDA By-law No. 1.
The first appearance in this matter will take place by teleconference
before a Hearing Panel of the MFDA's Central Regional Council on July
8, 2013 at 10:00 a.m. (Eastern) in the MFDA hearing room located at 121
King Street West, Suite 1000, Toronto, Ontario. The purpose of the
appearance is to set a date for the hearing of this matter on its
merits and to address any other procedural matters and will be open to
the public, except as may be required for the protection of
A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca.
The MFDA is the self-regulatory organization for Canadian mutual fund
dealers, regulating the operations, standards of practice and business
conduct of its 116 Members and their approximately 80,000 Approved
Persons with a mandate to protect investors and the public interest.
SOURCE: Mutual Fund Dealers Association of Canada
For further information:
Director of Litigation