MFDA schedules next appearance in the matter of Lee McIvor
August 7, 2018 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Lee Scott McIvor (“Respondent”) by Notice of Hearing dated February 9, 2018.
An appearance in this proceeding took place on August 3, 2018 by teleconference before a Hearing Panel of the MFDA’s Prairie Regional Council.
Following submissions by the parties, the Hearing Panel directed that the next appearance take place by teleconference on September 17, 2018 at 11:30 a.m. (Mountain), 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 Thompson, Manitoba area and the Kelowna, British Columbia 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.