Information contained on this page is provided by an independent third-party content provider. WorldNow and this Station make no warranties or representations in connection therewith. If you have any questions or comments about this page please contact firstname.lastname@example.org.
SOURCE Mutual Fund Dealers Association of Canada
TORONTO, May 8, 2014 /CNW/ - A disciplinary hearing in the matter of Katrina Anne Powell (the "Respondent") concluded on May 8, 2014 in Calgary, Alberta, before a three-member Hearing Panel of the MFDA's Prairie Regional Council.
Following submissions by Staff of the MFDA, the Hearing Panel found that the allegation concerning the Respondent set out in the Notice of Hearing dated July 2, 2013 had been established and imposed the following sanctions on the Respondent, advising that it will issue written reasons for its decision 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 111 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.
©2012 PR Newswire. All Rights Reserved.