October 12, 2022 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of John Dixon Moody (the “Respondent”) by Notice of Hearing dated September 9, 2022 (“Notice of Hearing”).
As specified in the Notice of Hearing, the first appearance in this proceeding was held on October 7, 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 1, 2022, commencing at 10:00 a.m. (Mountain), 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.
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.