For further information, please contact:
Marco Wynnyckyj Manager, Hearings
For immediate release
MFDA amends first appearance start time in the matter of Ernest Romain
March 30, 2016 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Ernest Victor Romain (the “Respondent”) by Notice of Hearing (the “Notice of Hearing”) dated January 21, 2016.
The first appearance in this proceeding will take place at 9:00 a.m. (Eastern) on March 31, 2016, having previously been scheduled for 9:30 a.m. (Eastern) the same day. The matter will continue to be held in the hearing room at the offices of the MFDA, located at 121 King Street West, Suite 1000, Toronto, Ontario, and 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 Burlington, Ontario, 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.
DM 474524 v1