MFDA reschedules Hearing on the Merits in the matter of Rohit Jaswal
January 15, 2020 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Rohit Jaswal (“Respondent”) by Notice of Hearing dated November 12, 2019.
The hearing of this matter on its merits, originally set to proceed May 5, 2020, has been rescheduled to May 13-14, 2020, commencing at 9:30 a.m. (Pacific) each day, or as soon thereafter as the matter can be heard, in the hearing room at the British Columbia Securities Commission, 701 West Georgia Street, Suite 1200, Vancouver, British Columbia. 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 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 81,000 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.