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 firstname.lastname@example.org to obtain particulars.
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.