October 11, 2017 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Chun-Yi Tay ( “Respondent”) by Notice of Hearing dated February 8, 2017 (“Notice of Hearing”).
The next appearance in this proceeding will take place by teleconference before a Hearing Panel of the MFDA’s Pacific Regional Council on October 17, 2017 at 12:00 p.m. (Pacific), or as soon thereafter as the appearance can be held, and 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 Richmond, 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.