MFDA Hearing Panel adjourns settlement hearing in the matter of Serge Robichaud

August 17, 2018 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Serge Luc Robichaud (“Respondent”) by Notice of Hearing dated November 15, 2017.

A settlement hearing in this proceeding commenced August 16, 2018 before a three-member Hearing Panel of the MFDA’s Atlantic Regional Council. Following submissions from the parties, the Hearing Panel adjourned the settlement hearing to a date to be determined and announced accordingly.

A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca. During the period described in the Notice of Hearing, the Respondent conducted business in Dieppe, New Brunswick.

The MFDA is the self-regulatory organization for Canadian mutual fund dealers, regulating the operations, standards of practice and business conduct of its Members and their approximately 82,000 Approved Persons with a mandate to protect investors and the public interest. For more information about the MFDA’s complaint and enforcement processes, as well as links to ‘Check an Advisor’ and other Investor Tools, visit the For Investors page on the MFDA website.