February 17, 2021 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Viet Ton-That (“Respondent”) by Notice of Hearing dated November 23, 2020.
As specified in the Notice of Hearing, the first appearance in this proceeding was held on February 16, 2021 by video conference 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 proceed by electronic hearing on April 15, 2021, commencing at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be held. 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.
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.