MFDA schedules interim appearance in the matter of John Moody
November 17, 2022 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of John Dixon Moody (the “Respondent”) by Notice of Hearing dated September 9, 2022 (“Notice of Hearing”).
The next appearance in this proceeding will take place electronically by videoconference on November 21, 2022, commencing at 1:00 p.m. (Mountain), and 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 Calgary, Alberta 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 76,695 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.
DM 898913
