November 28, 2016 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Robert Kenneth Phillips (the “Respondent”) by Notice of Hearing (the “Notice of Hearing”) dated June 17, 2016.
The hearing of this matter on its merits will take place before a Hearing Panel of the MFDA’s Prairie Regional Council on December 9, 2016, commencing at 10:00 a.m. (Mountain), or as soon thereafter as the matter can be heard, in the hearing room at the offices of the MFDA, located at 800 – 6th Avenue S.W., Suite 850, 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.