August 16, 2023 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”), now Canadian Investment Regulatory Organization (“CIRO”) commenced disciplinary proceedings in respect of Autumn Kaylee Farmer (the “Respondent”) by Notice of Hearing dated March 27, 2023 (the “Notice of Hearing”).
An appearance in this proceeding was held July 27, 2023 by videoconference before a Hearing Panel of the CIRO’s Nova Scotia District Hearing Committee.
Following submissions by the parties, the Hearing on the Merits has been scheduled to take place electronically by videoconference on September 25, 2023, commencing at 10:00 a.m. (Atlantic) 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 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 Kentville, Nova Scotia area.
The Canadian Investment Regulatory Organization (CIRO) 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 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.