New SRO concludes proceeding against Manish Sharma
February 8, 2023 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”), now New Self-Regulatory Organization of Canada (“New SRO”), has withdrawn the allegations in the Notice of Hearing dated January 20, 2022 in respect of Manish Sharma (the “Respondent”), and the disciplinary proceeding against the Respondent is concluded. The New SRO’s decision was based upon the Respondent’s medical condition.
New Self-Regulatory Organization of Canada is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. New SRO 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.newselfregulatoryorganizationofcanada.ca.
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