October 27, 2017 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Donald Wayne O’Connor (“Respondent”) by Notice of Hearing dated May 16, 2017.
An appearance in this proceeding took place today by teleconference before a Hearing Panel of the MFDA’s Prairie Regional Council.
Following submissions by the parties, the hearing of this matter on its merits has been set to take place on February 13-14, 2018, commencing at 10:00 a.m. (Mountain) each day, or as soon thereafter as the matter can be heard, in the hearing room at the offices of the MFDA, located at Suite 850, 800 – 6th Avenue S.W. Calgary, Alberta. The proceeding will be open to the public, except as may be required for the protection of confidential matters.
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.