December 1, 2017 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Sarah Solis Maria Suzarah Del Rosario (“Respondent”) by Notice of Hearing dated May 12, 2017 (“Notice of Hearing”).
As specified in the Notice of Hearing, the first appearance in this proceeding was held yesterday by teleconference before a Hearing Panel of the MFDA’s Central Regional Council.
Following submissions by the parties, the Hearing Panel directed that the next appearance take place by teleconference on February 22, 2018 at 9:30 a.m. (Eastern), or as soon thereafter as the appearance can be held. The appearance will be open to the public, except as may be required for the protection of confidential matters.
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.