November 20, 2017 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Dean Edward Owen (“Respondent”) by Notice of Hearing dated August 30, 2017 (“Notice of Hearing”).
The settlement hearing in this matter will take place before a Hearing Panel of the MFDA’s Prairie Regional Council on November 24, 2017, commencing at 10:00 a.m. (Central), or as soon thereafter as the matter can be heard, in the hearing room at the Delta Bessborough Hotel, located at 601 Spadina Crescent East, Saskatoon, Saskatchewan.
MFDA settlement hearings are typically held in the absence of the public pursuant to section 20.5 of MFDA By-law No. 1 and Rule 15.2(2) of the MFDA Rules of Procedure. If the Hearing Panel accepts the settlement agreement, then the proceeding will become open to the public and a copy of the decision of the Hearing Panel and the settlement agreement will be made available at www.mfda.ca
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 the Saskatoon, Saskatchewan 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.