TORONTO, March 28, 2013 /CNW/ - A Hearing Panel of the MFDA's Central
Regional Council has issued its Decision and Reasons (Misconduct) in
connection with a disciplinary hearing held in Toronto, Ontario in
respect of Ellen Grace Batac, Hazel Gaminde, Dandy Macareag, Cesar
Martin and Lilibeth Ocampo (the "Respondents").
In its Decision and Reasons (Misconduct), the Hearing Panel found that
the allegations made against the Respondents in the Notice of Hearing
had been established and directed that submissions with respect to
penalty will take place on a date to be announced.
A copy of the Decision and Reasons (Misconduct) 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 115 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
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