TORONTO, Sept. 9, 2011 /CNW/ - The Mutual Fund Dealers Association of Canada today announced that it
has commenced disciplinary proceedings in respect of Michael Labrick
Harvey (the "Respondent"). MFDA staff alleges in its Notice of Hearing
that Mr. Harvey engaged in the following conduct contrary to the
By-laws, Rules or Policies of the MFDA:
Allegation #1: Commencing May 2010, the Respondent has failed or refused 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 Pacific Regional Council on
October 3, 2011 at 9:00 a.m. (Pacific) in the Hearing Room located at
650 West Georgia Street, Suite 1220, Vancouver, British Columbia. The
purpose of the first appearance is to schedule the date for the
commencement of the hearing 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 confidential matters.
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 132 Members and their approximately 75,000 Approved
Persons with a mandate to protect investors and the public interest.
SOURCE Mutual Fund Dealers Association of Canada
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