March 20, 2023 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”), now New Self-Regulatory Organization of Canada (“New SRO”), commenced a disciplinary proceeding in respect of Roxanne Marie Carter (the “Respondent”) by Notice of Hearing dated December 22, 2022 (“Notice of Hearing”).
As specified in the Notice of Hearing, the first appearance in this proceeding was held today by videoconference before a Hearing Panel of the New SRO’s Ontario District Hearing Committee.
Following submissions by the parties, the Hearing on the Merits has been scheduled to take place electronically by videoconference on June 27, 2023, commencing at 10:00 a.m. (Eastern), 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.
New Self-Regulatory Organization of Canada is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. New SRO is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and 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.newselfregulatoryorganizationofcanada.ca.