TORONTO, Feb. 7, 2013 /CNW/ - The MFDA today announced that it has
issued a Notice of Settlement Hearing regarding the presentation,
review and consideration of a proposed settlement agreement by a
Hearing Panel of the MFDA's Prairie Regional Council.
The settlement agreement will be between Staff of the MFDA and Gary
Golden (the "Respondent") and involves matters for which the Respondent
may be disciplined by a Hearing Panel pursuant to MFDA By-laws.
The proposed settlement agreement concerns allegations that the
Respondent, between May 2009 and August 2011, engaged in a practice
unbecoming an Approved Person by maintaining and using altered and
partially completed pre-signed forms to conduct Member business,
contrary to MFDA Rule 2.1.1.
An appearance will take place by teleconference before a Hearing Panel
in the MFDA hearing room located at 800 - 6th Avenue S.W., Suite 850, Calgary, Alberta on February 28, 2013 at 9:00
a.m. (Mountain), or as soon thereafter as the appearance can be held,
to set a date for a settlement hearing. The appearance will be open to
the public, except as may be required for the protection of
A copy of the Notice of Settlement 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 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:
416-943-4672 or email@example.com