MFDA sets dates for hearing in the matter of Mark Jennings
December 1, 2017 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Mark Lawrence Jennings (“Respondent”) by Notice of Hearing dated January 26, 2017 (“Notice of Hearing”).
An appearance in this proceeding took place yesterday by teleconference before a Hearing Panel of the MFDA’s Central Regional Council.
The hearing of this matter on its merits is set to take place April 18-20, 2018, commencing at 10:00 a.m. (Eastern) each day, or as soon thereafter as the hearing can be held, in the hearing room at the offices of the MFDA, located at 121 King Street West, Suite 1000, Toronto, Ontario. The proceeding 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 the Pembroke, Ontario 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 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.