October 26, 2022 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Laura Caitlin Kowall (the “Respondent”) by Notice of Hearing dated October 6, 2021 (“Notice of Hearing”).
An appearance in this proceeding was held on October 25, 2022 by videoconference before a Hearing Panel of the MFDA’s Prairie Regional Council.
Following submissions by the parties, the Hearing on the Merits has been scheduled to take place electronically by videoconference on December 6, 2022, commencing at 2:30 p.m. (Central), 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 firstname.lastname@example.org 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 Winnipeg, Manitoba 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 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.