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Charles Toth
Vice President, Enforcement

New SRO announces disciplinary proceeding in respect of Autumn Farmer

May 5, 2023 (Toronto, Ontario) – The New Self-Regulatory Organization of Canada (“New SRO”) has commenced disciplinary proceedings in respect of Autumn Kaylee Farmer (the “Respondent”). In its Notice of Hearing dated March 27, 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:  Between August 2020 and October 2020, the Respondent signed the electronic signatures of five clients on 14 account forms, and submitted the account forms to the Dealer Member for processing, contrary to Mutual Fund Dealer Rule 2.1.1 (formerly MFDA Rule 2.1.1).[1]

Allegation #2:  In October 2020, the Respondent made false or misleading statements to the Dealer Member during the course of its investigation into the Respondent’s conduct, contrary to Mutual Fund Dealer Rule 2.1.1 (formerly MFDA Rule 2.1.1).

The first appearance in this proceeding will take place by teleconference before a Hearing Panel of the New SRO’s Nova Scotia District Hearing Committee on May 5, 2023 at 10:00 a.m. (Atlantic), 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 to obtain particulars.

A copy of the Notice of Hearing is available on the MFDA website at During the period described in the Notice of Hearing, the Respondent conducted business in the Kentville, Nova Scotia 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


[1] Staff alleges that, at the time of the misconduct, the Respondent contravened MFDA Rule 2.1.1, which is now incorporated into Mutual Fund Dealer Rule 2.1.1 referred to in this proceeding.

DM 904272