August 8, 2017 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Claude David Fox-Revett (“Respondent”) by Notice of Hearing dated February 21, 2017, as amended on May 23, 2017 (“Amended Notice of Hearing”).
An appearance in this proceeding took place today by teleconference before a Hearing Panel of the Central Regional Council. Following submissions by the parties, the Panel directed that the next appearance take place by teleconference on August 29, 2017 at 10:00 a.m. (Eastern), or as soon thereafter as the appearance can be held, in the hearing room at the offices of the MFDA, located at 121 King Street West, Suite 1000, Toronto, Ontario. The appearance will be open to the public, except as may be required for the protection of confidential matters.
A copy of the Amended Notice of Hearing is available on the MFDA website at www.mfda.ca. During the period described in the Amended Notice of Hearing, the Respondent conducted business in the Newmarket, Ontario 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.