MFDA Hearing Panel makes findings against Ellen Batac, Hazel Gaminde, Dandy Macareag, Cesar Martin and Lilibeth Ocampo and issues Decision and Reasons (Misconduct)

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

For further information:

Shaun Devlin
Vice-President, Enforcement
416-943-4672 or sdevlin@mfda.ca


FORFAITS PERSONNALISÉS

Jetez un coup d’œil sur nos forfaits personnalisés ou créez le vôtre selon vos besoins de communication particuliers.

Commencez dès aujourd'hui .

ADHÉSION À CNW

Remplissez un formulaire d'adhésion à CNW ou communiquez avec nous au 1-877-269-7890.

RENSEIGNEZ-VOUS SUR LES SERVICES DE CNW

Demandez plus d'informations sur les produits et services de CNW ou communiquez avec nous au 1‑877-269-7890.