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
Valorie Jean McManes
NOTICE OF HEARING
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 November 8, 2017 at 10:00 a.m. (Mountain), or as soon thereafter as the appearance can be held, concerning a disciplinary proceeding commenced by the MFDA against Valorie Jean McManes (“Respondent”). The Hearing on the Merits will take place in Calgary, Alberta at a time and venue to be announced.
DATED: Sep 7, 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 June 2012 and April 2016, the Respondent obtained, possessed, and used to process transactions, nine (9) pre-signed account forms in respect of four (4) clients, contrary to MFDA Rule 2.1.1; and
Allegation #2: on or about September 3, 2015, the Respondent falsified one (1) account form in respect of one (1) client by altering information on the account form without having the client initial the alterations, contrary to MFDA Rule 2.1.1.