September 14, 2021 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Marja Grobbink Harmer (“Respondent”) by Notice of Hearing dated December 14, 2020.
An appearance in this proceeding was held on September 9, 2021 by videoconference before a Hearing Panel of the MFDA’s Prairie Regional Council.
Following submissions by the parties regarding procedural matters, the hearing of this matter on its merits will take place on October 19-22, 2021, commencing at 10:00 a.m. (Central) each day, by electronic hearing as well as in the hearing room at the Delta Hotels Regina, 1919 Saskatchewan Drive, Regina, Saskatchewan. 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 observe the electronic hearing should contact firstname.lastname@example.org 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 Regina, Saskatchewan 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.