MFDA amends appearance time in the matter of Yan Feng Li
May 1, 2017 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Yan Feng (Frank) Li (the “Respondent”) by Notice of Hearing dated January 22, 2015 (the “Notice of Hearing”).
An interim appearance in this matter, originally scheduled to take place May 2, 2017, at 10:00 a.m. (Eastern) will now proceed at 3:00 p.m. (Eastern) or as soon thereafter as the matter can be heard, on the same day, in the hearing room at the offices of the MFDA, located at 121 King Street West, Suite 1000, Toronto, Ontario. The proceeding 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 conducted business in Markham, Ontario.
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.