January 6, 2020 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Christopher John Davies (“Respondent”) by Notice of Hearing dated November 18, 2019.
The first appearance in this proceeding, originally scheduled to take place on January 14, 2020, will now be held before a Hearing Panel of the MFDA’s Central Regional Council on January 20, 2020, by teleconference at 10:00 a.m. (Eastern), or as soon thereafter as the appearance can be held. The appearance will be open to the public, except as may be required for the protection of confidential matters. Members of the public who would like to listen to the teleconference should contact [email protected] to obtain particulars.
A copy of the Notice of Hearing is available on the MFDA website at ww.mfda.ca. During the period described in the Notice of Hearing, the Respondent carried on business in the St. Thomas and London, 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 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.