TORONTO, Oct. 12, 2012 /CNW/ - The MFDA commenced a disciplinary proceeding in respect of Scott Kelly by Notice of Hearing dated June 22, 2012.
A hearing of this matter on its merits took place yesterday in Toronto, Ontario before a 3-person Hearing Panel of the MFDA's Central Regional Council. The Hearing Panel reserved its decision and advised that it would issue its decision and written reasons in due course.
The MFDA is the self-regulatory organization for Canadian mutual fund dealers, regulating the operations, standards of practice and business conduct of its 120 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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