201756
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
Donald Wayne O’Connor
NOTICE is hereby given that a first appearance will take place by teleconference before a hearing panel of the Prairie Regional Council (“Hearing Panel”) of the Mutual Fund Dealers Association of Canada (“MFDA”) in the hearing room at the MFDA offices, located at 800 - 6th Avenue S.W., Suite 850, Calgary, Alberta on August 14, 2017 at 10:30 a.m. (Mountain), or as soon thereafter as the appearance can be held, concerning a disciplinary proceeding commenced by the MFDA against Donald Wayne O’Connor (“Respondent”).
DATED: May 16, 2017
"Sarah Rickard"
Sarah Rickard
Director of Regional Councils
Mutual Fund Dealers Association of Canada
121 King St. West, Suite 1000
Toronto, ON M5H 3T9
Telephone: 416-945-5143
Fax: 416-361-9781
E-mail: corporatesecretary@mfda.ca
NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA:
Allegation #1: between April 2011 and June 2015, the Respondent obtained, possessed, and used to process transactions, 189 pre-signed account forms in respect of 26 clients, contrary to MFDA Rule 2.1.1.
Allegation #2: in July 2015, the Respondent failed to comply with the Member’s policies and procedures by failing to record and maintain evidence of client trade instructions with respect to 2 transactions in respect of 2 clients, contrary to MFDA Rules 2.5.1, 1.1.2, and 2.1.1.