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Order

Re:

Order

Order
File No. 201518

IN THE MATTER OF A SETTLEMENT HEARING
PURSUANT TO SECTION 24.4 OF BY-LAW NO. 1 OF
THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA

Re: Mansu Ding



ORDER



WHEREAS on June 9, 2015, the Mutual Fund Dealers Association of Canada (the
“MFDA”) issued a Notice of Settlement Hearing pursuant to section 24.4 of By-law No. 1 in
respect of Mansu Ding (the “Respondent”);

AND WHEREAS the Respondent entered into a settlement agreement with Staff of the
MFDA, dated September 18, 2015 (the “Settlement Agreement”), in which the Respondent
agreed to a proposed settlement of matters for which the Respondent could be disciplined
pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS the Hearing Panel is of the opinion that, between April 2010 and April
2013, the Respondent obtained, maintained, and in some instances used to process trades, a total
of 65 blank pre-signed order entry forms in respect of 15 clients contrary to MFDA Rule 2.1.1.

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IT IS HEREBY ORDERED THAT the Settlement Agreement is accepted, as a
consequence of which:

1.
the Respondent shall pay a fine in the amount of $11,000 pursuant to s. 24.1.1(b) of
MFDA By-law No. 1;

2.
the Respondent shall pay costs in the amount of $2,500.00 pursuant to s. 24.2 of MFDA
By-law No. 1;

3.
the Respondent shall in future comply with MFDA Rule 2.1.1; and

4.
If at any time a non-party to this proceeding requests production of, or access to, any
materials filed in, or the record of, this proceeding, including all exhibits and transcripts, then the
MFDA Corporate Secretary shall not provide copies of, or access to, the requested documents to
the non-party without first redacting from them any and all intimate financial or personal
information, pursuant to Rules 1.8(2) and (5) of the MFDA Rules of Procedure.

DATED this 24th day of September, 2015.

“Martin L. Friedland”
Martin L. Friedland, C.C., Q.C.

Chair

“Brigitte J. Geisler”
Brigitte J. Geisler

Industry Representative

“Kenneth Mann”
Kenneth Mann

Industry Representative

DM 446379 v1

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