News Release

For immediate release
View and Download English PDF

For further information, please contact:

Marco Wynnyckyj

Director, Hearings

(416) 945-5146

mwynnyckyj@mfda.ca

MFDA Hearing Panel adjourns penalty hearing in the matter of King Kwong Clement Chow

June 11, 2021 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of King Kwong Clement Chow (“Respondent”) by Notice of Hearing dated October 7, 2020.

The sanctions phase of this proceeding commenced on June 10, 2021, by electronic hearing before a three-member Hearing Panel of the MFDA’s Prairie Regional Council, and was thereafter adjourned to August 25, 2021, commencing at 9:30 a.m. (Mountain) by electronic hearing. The proceeding will continue to 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 hearings@mfda.ca 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 Edmonton, Alberta 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.