New SRO Hearing Panel reserves judgment in the matter of John Moody
March 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 John Dixon Moody (the “Respondent”) by Notice of Hearing dated September 9, 2022 (“Notice of Hearing”).
A disciplinary hearing in this proceeding was held electronically by videoconference on January 24, 2023 before a three-member Hearing Panel of the New SRO’s Alberta District Hearing Committee. After receiving the evidence and hearing submissions by the parties with respect to misconduct and penalty, the Hearing Panel reserved its judgment and advised it will issue its decision and written reasons in due course.
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 Calgary, Alberta 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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