June 1, 2017 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Romina Romano (“Respondent”) by Notice of Settlement Hearing dated May 5, 2017 (“Notice of Settlement Hearing”).
A settlement hearing in this matter was held on May 30, 2017 in Vancouver, British Columbia before a three-member Hearing Panel of the MFDA’s Pacific Regional Council. Following submissions from the parties, the Hearing Panel rejected the settlement agreement entered into between MFDA Staff and the Respondent and made no orders in the matter.
A copy of the Notice of Settlement Hearing is available on the MFDA website at www.mfda.ca. During the period described in the Notice of Settlement Hearing, the Respondent carried on business in the Vancouver, 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 83,000 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.
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