MFDA schedules next appearance in the matter of Grace Wong Uy
March 23, 2018 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Grace Wong Uy (“Respondent”) by Notice of Hearing dated January 8, 2018.
As specified in the Notice of Hearing, the first appearance in this proceeding took place yesterday by teleconference before a Hearing Panel of the MFDA’s Central Regional Council.
The next appearance in this matter will take place by teleconference before the Hearing Panel on May 9, 2018 at 9:30 a.m. (Eastern), or as soon thereafter as the appearance can be held, and will be open to the public, except as may be required for the protection of confidential matters.
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 Richmond Hill, Ontario.
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.