March 29, 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 Paul O’Brian Walker (the “Respondent”) by Notice of Hearing dated November 23, 2022 (the “Notice of Hearing”).
The hearing of this matter on its merits, previously set for September 26-29, 2023, has been rescheduled to proceed electronically by videoconference before a Hearing Panel of the New SRO’s Ontario District Hearing Committee on October 10-13, 2023, commencing at 10:00 a.m. (Eastern) each day. The proceeding 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 participate should contact [email protected] to obtain particulars.
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 Mississauga, 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.