MFDA sets dates for Hearing on the Merits in the matter of James Curtis

January 26, 2017 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of James Edward Curtis (the “Respondent”) by Notice of Hearing dated October 11, 2016 (the “Notice of Hearing”).

As specified in the Notice of Hearing, the first appearance in this proceeding took place today by teleconference before a Hearing Panel of the MFDA’s Central Regional Council.

The hearing of this matter on its merits has been scheduled to take place October 16-20, 2017, commencing at 10:00 a.m. (Eastern) each day, or as soon thereafter as the matter can be held, at a venue to be announced in Kitchener, Ontario. The hearing will be open to the public, except as may be required for the protection of confidential matters.

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 Waterloo, Ontario.

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 83,000 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.