November 11, 2022 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Simon Christopher Kelly (the “Respondent”) by Notice of Hearing dated December 17, 2021 (the “Notice of Hearing”).
An appearance in this proceeding was held on November 9, 2022 by videoconference before a Hearing Panel of the MFDA’s Prairie Regional Council.
Following submissions by the parties regarding procedural matters, the hearing of this matter on its merits will take place electronically by videoconference on January 25-27, 2023, commencing at 10:00 a.m. (Mountain) each day. 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 observe the electronic hearing 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 76,695 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.