November 23, 2017 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Larry Leslie Williams (“Respondent”) by Notice of Hearing dated August 16, 2017 (“Notice of Hearing”).
As specified in the Notice of Hearing, the first appearance in this proceeding was held today by teleconference before a Hearing Panel of the MFDA’s Pacific Regional Council.
The hearing of this matter on its merits has been scheduled to take place on April 17-18, 2018, commencing at 10:00 a.m. (Pacific) each day, or as soon thereafter as the matter can be held, at a venue to be determined and announced accordingly in Vancouver, British Columbia.
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 carried on business in the Surrey, British Columbia area.
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 83,000 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.