April 26, 2021 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Joel Henry Attis (“Respondent”) by Notice of Hearing dated December 18, 2019.
An appearance in this proceeding was held today by videoconference before a Hearing Panel of the MFDA’s Atlantic Regional Council.
Following submissions by the parties, the hearing of this matter on its merits, has been set to proceed by way of electronic hearing on July 12-16 and July 19, 2021, commencing at 10:00 a.m. (Atlantic) each day, or as soon thereafter as the matter can be heard. 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 email@example.com 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.