TORONTO, July 8, 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 on June
18, 2013 in respect of Zhengwen (Katherine) Qi and Xiaodan (Bonnie)
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 determined.
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:
Managing Director, Enforcement