October 10, 2017 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Larry Leslie Williams (“Respondent”) by Notice of Hearing dated August 16, 2017 (“Notice of Hearing”).
The first appearance in this proceeding, originally scheduled to take place by teleconference on October 11, 2017, has been adjourned, on consent of the parties, to November 23, 2017 at 10:00 a.m. (Pacific), or 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.
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 Surrey, 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.