New SRO reschedules continuation of settlement hearing in the matter of George Yamamoto
February 1, 2023 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”), now New Self-Regulatory Organization of Canada (“New SRO”), commenced a disciplinary proceeding in respect of George Yamamoto (the “Respondent”) by Notice of Hearing dated October 7, 2022 (the “Notice of Hearing”).
The continuation of the settlement hearing, originally set for February 3, 2023, has been rescheduled to proceed electronically by videoconference before a Hearing Panel of the New SRO’s Ontario District Hearing Committee on March 3, 2023 at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be heard. Members of the public who would like to obtain further particulars should contact hearings@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 Toronto, Ontario area.
New Self-Regulatory Organization of Canada is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. New SRO is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments. For more information, visit www.newselfregulatoryorganizationofcanada.ca.
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