June 16, 2022 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Nicholas Andrew Rivet (the “Respondent”) by Notice of Hearing dated November 16, 2021 (“Notice of Hearing”).
The hearing of this matter on its merits, originally set for June 22-23, 2022, will now take place electronically by videoconference on June 22, 2022, commencing at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be held. The proceeding will be open to the public, except as may be required for the protection of confidential matters. Members of the public who would like to participate should contact email@example.com to obtain particulars.
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 80,000 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.