IN THE MATTER OF A DISCIPLINARY HEARING PURSUANT TO SECTIONS 20 AND 24 OF BY-LAW NO. 1 OF THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA
Re: Robert Henry Young
NOTICE is hereby given that a first appearance will take place by teleconference before a hearing panel (the “Hearing Panel”) of the Atlantic Regional Council of the Mutual Fund Dealers Association of Canada (the “MFDA”) on November 22, 2016 at 10:00 a.m. (Atlantic) concerning a disciplinary proceeding commenced by the MFDA against Robert Henry Young (the “Respondent”). Members of the public who would like to listen to the teleconference should contact the Manager, Hearings at 416-945-5146 or email@example.com to obtain particulars. The Hearing on the Merits will take place in Halifax, Nova Scotia at a time and venue to be announced.
DATED: Oct 13, 2016
Director of Regional Councils
Mutual Fund Dealers Association of Canada
121 King St. West, Suite 1000
Toronto, ON M5H 3T9
NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA:
Allegation #1: Between 2003 and 2013, the Respondent engaged in outside business activities that were not disclosed to, and approved by, the Member by acting as a director, principal and/or directing mind of two corporations, thereby engaging in conduct contrary to the Member’s policies and procedures, and MFDA Rules 1.2.1(c) (now MFDA Rule 1.3), 2.5.1, 1.1.2 and 2.1.1.