April 1, 2022 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Andrew Kazina (the “Respondent”) by Notice of Hearing dated June 4, 2020.
An appearance in this proceeding was held on March 24, 2022 by videoconference before a Hearing Panel of the MFDA’s Prairie Regional Council.
Following submissions by the parties regarding procedural matters, the Hearing on the Merits has been scheduled for November 14-18, 2022 and November 21-25, 2022, commencing daily at 10:00 a.m. (Central). The matter will take place electronically by videoconference, as well as in the hearing room at the Manitoba Securities Commission, 400 St Mary Avenue, Winnipeg, Manitoba. The Hearing Panel also scheduled an interim appearance on July 21, 2022, commencing at 10:00 a.m. (Central). The proceeding will be open to the public, except as may be required for the protection of confidential matters. Members of the public should contact [email protected] to obtain further 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 conducted business in the Winnipeg, Manitoba area.
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 80,000 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.