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Order

Re:

Order

Order
File No. 201560




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: Catherine Ann Gowing



ORDER
(ARISING FROM SETTLEMENT HEARING ON JANUARY 28, 2016)



WHEREAS on November 26, 2015, the Mutual Fund Dealers Association of Canada
(the “MFDA”) issued a Notice of Settlement Hearing pursuant to s. 24.4 of By-law No. 1 in
respect of Catherine Ann Gowing (the “Respondent”);

AND WHEREAS the Respondent entered into a settlement agreement with Staff of the
MFDA, dated November 25, 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, on October 11, 2014, the
Respondent falsified a client’s signature on an account form in order to open an account for the
client, contrary to MFDA Rule 2.1.1.

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IT IS HEREBY ORDERED THAT:

1.
The Respondent shall be prohibited for three months from conducting securities related
business in any capacity while in the employ of or associated with any Member of the MFDA,
pursuant to s. 24.1.1(e) of MFDA By-law No. 1;

2.
The Respondent shall pay costs in the amount of $1,000, pursuant to s. 24.2 of MFDA
By-law No. 1;

3.
The Respondent shall in the 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 28th day of January, 2016.

“Paul M. Moore”
Paul M. Moore, Q.C.

Chair

“Casimir Litwin”
Casimir Litwin

Industry Representative

“Robert C. White”
Robert C. White

Industry Representative

DM 464811 v1
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