New SRO schedules date for next appearance in the matter of Michael Bock
February 16, 2023 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada, now New Self-Regulatory Organization of Canada (“New SRO”), commenced a disciplinary proceeding in respect of Michael Bock (the “Respondent”) by Notice of Hearing dated November 18, 2022 (the “Notice of Hearing”).
As specified in the Notice of Hearing, the first appearance in this proceeding was held on January 17, 2023 by videoconference before a Hearing Panel of the New SRO’s Alberta District Hearing Committee.
The next appearance has been scheduled to take place by teleconference on February 24, 2023 at 10:00 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. 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 conducted business in the Calgary, Alberta area.
New Self-Regulatory Organization of Canada is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. New SRO is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments. For more information, visit www.newselfregulatoryorganizationofcanada.ca.