June 14, 2022 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Hope Moira Donna Thomas (the “Respondent”) by Notice of Hearing dated November 22, 2021 (“Notice of Hearing”).
An appearance in this proceeding was held today by videoconference before a Hearing Panel of the MFDA’s Pacific Regional Council.
Following submissions by Staff of the MFDA, the Hearing Panel confirmed that the hearing of this matter on its merits will proceed electronically by videoconference on October 18, 2022, commencing at 10:00 a.m. (Pacific). 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 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 Merritt, British Columbia 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.