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NEWS RELEASE

For immediate release
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For further information, please contact:

Marco Wynnyckyj

Director, Hearings

(416) 945-5146

mwynnyckyj@mfda.ca

MFDA confirms hearing in the matter of Derek Chapman

September 30, 2020 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Derek Chapman (“Respondent”) by Notice of Hearing dated April 25, 2019.

An appearance in this proceeding was held today by teleconference before a Hearing Panel of the MFDA’s Central Regional Council.

Following submissions by the parties, the Hearing on the Merits will go ahead by electronic hearing before a Hearing Panel of the MFDA’s Central Regional Council on October 28 & 29, 2020, commencing at 10:00 a.m. (Eastern) each day. 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 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 the St. Catharines, 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.