September 15, 2021 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Amin Mohammad Ali (“Respondent”) by Notice of Hearing dated June 4, 2020.
An appearance in this proceeding was held on September 14, 2021 by videoconference before a Hearing Panel of the MFDA’s Central Regional Council.
Following submissions by the parties, the Hearing on the Merits has been scheduled to take place by electronic hearing on February 8-11, 2022, commencing at 10:00 a.m. (Eastern), each day, or as soon thereafter as the matter can be held. The Hearing Panel also set an interim appearance by teleconference on November 15, 2021 at 4:00 p.m. (Eastern). 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 listen to the teleconference 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.