September 9, 2020 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Jewel Mary Henricks (“Respondent”) by Notice of Hearing dated July 6, 2020.
As specified in the Notice of Hearing, the first appearance in this proceeding was held on September 8, 2020 by teleconference before a Hearing Panel of the MFDA’s Pacific Regional Council.
Following submissions by the parties, the Hearing on the Merits has been scheduled to take place January 21, 2021, commencing at 10:00 a.m. (Pacific), at a venue to be determined and announced accordingly in Vancouver, British Columbia. The Hearing Panel also set an interim procedural appearance by teleconference on November 6, 2020 at 10:00 a.m. (Pacific). All appearances before the Hearing Panel shall be open to the public, except as may be required for the protection of confidential matters. Members of the public who would like to listen to the teleconference 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 Prince George, 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 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.