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
Aranpreet Kaur Bhullar
NOTICE OF HEARING
NOTICE is hereby given that a first appearance will take place by teleconference before a hearing panel of the Central Regional Council (“Hearing Panel”) of the Mutual Fund Dealers Association of Canada (“MFDA”) in the hearing room at the MFDA offices located at 121 King Street West, Suite 1000, Toronto, Ontario on October 26, 2017, at 9:00 a.m. (Eastern), or as soon thereafter as the hearing can be held, concerning a disciplinary proceeding commenced by the MFDA against Aranpreet Kaur Bhullar (“Respondent”).
DATED: Jul 14, 2017
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 September 2015 and October 2015, the Respondent falsified seven (7) client signatures or client initials on five (5) account forms, in respect of two (2) clients, and used the account forms to process transactions, contrary to MFDA Rule 2.1.1.