June 14, 2017 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Timothy Joseph Dunlop (“Respondent”) by Notice of Hearing dated November 21, 2016 (“Notice of Hearing”).
A settlement hearing in this matter was held today in Toronto, Ontario before a three-member Hearing Panel of the Central Regional Council of the MFDA. The Hearing Panel reserved its decision as to whether it will accept or reject the settlement agreement between Staff of the MFDA and the Respondent.
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 83,000 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.
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