New SRO reschedules settlement hearing in the matter of Robert Fulton
February 15, 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 Robert Jason Alexander Fulton (the “Respondent”) by Notice of Settlement Hearing dated December 14, 2022 (“Notice of Settlement Hearing”).
The settlement hearing, originally set for February 16, 2023, has been rescheduled to proceed electronically by videoconference before a Hearing Panel of the New SRO’s Ontario District Hearing Committee on March 6, 2023 at 1:00 p.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 email@example.com.
A copy of the Notice of Settlement Hearing is available on the MFDA website at www.mfda.ca. During the period described in the Notice of Settlement Hearing, the Respondent conducted business in the London, 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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