TORONTO, Nov. 20, 2012 /CNW/ - Hearing Panel of the MFDA's Central
Regional Council has issued its Decision and Reasons (Misconduct) in
connection with the disciplinary hearing held in Toronto, Ontario on
October 11, 2012 in the matter of Scott Michael Kelly (the
In its Decision and Reasons (Misconduct), the Hearing Panel found that
the two allegations made against the Respondent in the Notice of
Hearing issued June 22, 2012 had been established. Submissions with
respect to penalty will take place on a date and at a venue to be
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 119 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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