April 29, 2020 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Rebecca Wai-Chiu Li (“Respondent”) by Notice of Hearing dated October 1, 2019.
The hearing of this matter on its merits will take place by electronic hearing before a Hearing Panel of the MFDA’s Central Regional Council on June 8, 2020 at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be heard. 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 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.