November 9, 2022 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Dennis Jerome Duclos (the “Respondent”) by Notice of Hearing dated March 23, 2022 (“Notice of Hearing”).
The interim appearance in this proceeding, originally scheduled to be held on December 1, 2022, will now take place before a Hearing Panel of the MFDA’s Central Regional Council by teleconference on December 5, 2022 at 10:00 a.m. (Eastern). 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 firstname.lastname@example.org to obtain particulars.
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 76,695 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.