MFDA schedules next appearance in the matter of Daniel Botha
July 24, 2018 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Daniel Phillipus Botha (“Respondent”) by Notice of Hearing dated March 23, 2018.
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 Panel ordered the next appearance in this matter take place by teleconference on September 4, 2018 at 10:00 a.m. (Mountain), or as soon thereafter as the appearance can be held. The appearance 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 listen to the teleconference should contact firstname.lastname@example.org 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 carried on 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 82,000 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.