MFDA Hearing Panel issues Reasons for Decision in the matter of Cheng Han Lee

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Mutual Fund Dealers Association of Canada

Jan 14, 2013, 16:58 ET

TORONTO, Jan. 14, 2013 /CNW/ - A Hearing Panel of the Pacific Regional Council of the MFDA has issued its Reasons for Decision in connection with the disciplinary hearing held in Vancouver, British Columbia on November 14, 2012 in the matter of Cheng Han Lee.

A copy of the Hearing Panel's Reasons for Decision 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 116 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

Shaun Devlin
Vice-President, Enforcement
416-943-4672 or [email protected]

Organization Profile

Mutual Fund Dealers Association of Canada

The Mutual Fund Dealers Association of Canada (MFDA) is the national self-regulatory organization (SRO) for the distribution side of the Canadian mutual fund industry. It was established in June 1998 at the initiative of the Canadian Securities Administrators. The MFDA...