February 1, 2021 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Collin Spithoff (“Respondent”) by Notice of Hearing dated December 22, 2020.
As specified in the Notice of Hearing, the first appearance in this proceeding was held today by videoconference before a Hearing Panel of the MFDA’s Central Regional Council.
Following submissions by the parties with respect to scheduling, the Hearing on the Merits has been scheduled to take place by electronic hearing on May 31, 2021 and June 3, 2021, commencing at 10:00 a.m. (Eastern) each day, or as soon thereafter as the matter can be held. 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 conducted business in the Mississauga, Ontario 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 81,000 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.