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For further information, please contact:

Marco Wynnyckyj
Director, Hearings

MFDA schedules next appearance in the matter of Dennis Duclos

October 12, 2022 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Dennis Jerome Duclos (the “Respondent”) by Notice of Hearing dated March 23, 2022 (“Notice of Hearing”).

An appearance in this proceeding was held today by videoconference before a Hearing Panel of the MFDA’s Central Regional Council.

Following submissions by Staff of the MFDA, the Hearing Panel has ordered the next appearance take place by teleconference on December 1, 2022, commencing at 10:00 a.m. (Eastern), 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 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 Waterloo, 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 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 897600