New SRO announces disciplinary proceeding in respect of Jennifer Beh
March 6, 2023 (Toronto, Ontario) – The New Self-Regulatory Organization of Canada (“New SRO”) has commenced disciplinary proceedings in respect of Jennifer Beh (the “Respondent”). In its Notice of Hearing dated February 1, 2023 (the “Notice of Hearing”), Staff of New SRO alleges that the Respondent engaged in the following violations of the Mutual Fund Dealer Rules:
Allegation #1: Commencing on or about November 17, 2021, the Respondent failed to cooperate with MFDA Staff’s investigation into the Respondent’s conduct, contrary to Mutual Fund Dealer Rule 6.2.1 (formerly section 22.1 of MFDA By-law No. 1).
The first appearance in this proceeding will take place by teleconference before a Hearing Panel of the New SRO’s Pacific District Hearing Committee on March 24, 2023 at 10:00 a.m. (Pacific), or as soon thereafter as the appearance can be held, to schedule a date for the commencement of the hearing on the merits and to address any other procedural issues. 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 conducted business in the Vancouver, British Columbia 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.
 Staff alleges that, at the time of the misconduct, the Respondent contravened section 22.1 of MFDA By-law No. 1, which is now incorporated into Mutual Fund Dealer Rule 6.2.1 referred to in this proceeding.