MFDA schedules next appearance in the matter of Daniel Botha
June 5, 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.
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 Prairie Regional Council.
The next appearance in this matter shall take by teleconference before the Hearing Panel on July 24, 2018 at 10:30 a.m. (Mountain), 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 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.