TORONTO, Dec. 11, 2013 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund
Dealers Association of Canada ("MDFA") has issued its Reasons for
Decision in connection with the settlement hearing held in Toronto,
Ontario on October 23, 2013 in the matter of Arron John Appleton (the
A copy of the Reasons for Decision is available on the MFDA website at www.mfda.ca. During the period described in the Notice of Settlement Hearing, the
Respondent carried on business in Markham, Ontario.
The MFDA is the self-regulatory organization for Canadian mutual fund
dealers, regulating the operations, standards of practice and business
conduct of its 113 Members and their approximately 80,000 Approved
Persons with a mandate to protect investors and the public interest.
For more information about the MFDA's complaint and enforcement
processes, as well as links to 'Check an Advisor' and other Investor
Tools, visit the For Investors page on the MFDA website.
SOURCE: Mutual Fund Dealers Association of Canada
For further information:
Managing Director, Enforcement