New SRO schedules date for Hearing on the Merits in the matter of Autumn Farmer
May 19, 2023 (Toronto, Ontario) – The New Self-Regulatory Organization of Canada (“New SRO”) commenced disciplinary proceedings in respect of Autumn Kaylee Farmer (the “Respondent”) by Notice of Hearing dated March 27, 2023 (the “Notice of Hearing”).
An appearance in this proceeding was held electronically by videoconference on May 5, 2023 before a Hearing Panel of the New SRO’s Nova Scotia District Hearing Committee.
Following submissions by the parties, the Hearing on the Merits has been scheduled to take place electronically by videoconference on July 10, 2023, commencing at 10:00 a.m. (Atlantic), 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 hearings@mfda.ca 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 Kentville, Nova Scotia area.
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.
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