September 29, 2020 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Omar Enrique Rojas Diaz (“Respondent”) by Notice of Hearing dated August 5, 2020.
An appearance in this proceeding was held today by teleconference before a Hearing Panel of the MFDA’s Central Regional Council.
Following submissions by the parties, the Hearing on the Merits will take place by electronic hearing before a Hearing Panel of the MFDA’s Central Regional Council on December 14, 2020, commencing at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be heard. 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.
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 81,000 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.