CIRO schedules appearance in the matter of John Moody
June 21, 2023 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada, now Canadian Investment Regulatory Organization (“CIRO”), commenced a disciplinary proceeding in respect of John Dixon Moody (the “Respondent”) by Notice of Hearing dated September 9, 2022 (“Notice of Hearing”).
An appearance in this proceeding will be held by teleconference on June 21, 2023 at 10:30 a.m. (Mountain), or as soon thereafter as the appearance can be held, and 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 listen to the teleconference should contact [email protected] to obtain particulars.
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 the Calgary, Alberta area.
Canadian Investment Regulatory Organization is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. CIRO is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments. For more information, visit www.ciro.ca.
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