MFDA Hearing Panel issues Reasons for Decision in the matter of Dorothy Chan

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Mutual Fund Dealers Association of Canada

Oct 30, 2013, 17:24 ET

TORONTO, Oct. 30, 2013 /CNW/ - A Hearing Panel of the MFDA's Pacific Regional Council has issued its Reasons for Decision in connection with a disciplinary hearing held in Vancouver, British Columbia on September 10, 2013 in the matter of Dorothy Siu Wah Chan (the "Respondent").

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 Hearing, the Respondent carried on business in Burnaby, British Columbia.

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. 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

Hugh Corbett
Managing Director, Enforcement
416-943-4685
[email protected]

Jeff Mount
Vice-President, Pacific Region
604-694-8846
[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...