August 10, 2017 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Frank Harrison Dew (“Respondent”) by Notice of Hearing dated July 4, 2017 (“Notice of Hearing”).
As specified in the Notice of Hearing, the first appearance in this proceeding was held today by teleconference before a Hearing Panel of the MFDA’s Atlantic Regional Council.
The hearing of this matter on its merits has been set to take place on April 19, 2018, commencing at 10:00 a.m. (Atlantic), or as soon thereafter as the matter can be heard, in Charlottetown, Prince Edward Island at a venue to be announced. The proceeding will be open to the public, except as may be required for the protection of confidential matters.
A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca. During the period described in the Notice of Hearing, the Respondent conducted business in the Charlottetown, Prince Edward Island area.
The MFDA is the self-regulatory organization for Canadian mutual fund dealers, regulating the operations, standards of practice and business conduct of its Members and their approximately 83,000 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.