April 9, 2020 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Rajvir Kaur Hothi (“Respondent”) by Notice of Hearing dated February 7, 2020.
As specified in the Notice of Hearing, the first appearance in this matter was held today by teleconference before a Hearing Panel of the MFDA’s Prairie Regional Council.
Following submissions by Staff of the MFDA, the next appearance in this proceeding will take place by teleconference before a Hearing Panel on May 19, 2020 at 10:30 a.m. (Mountain), or as soon thereafter as the appearance can be held, and 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.
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 carried on business in the Edmonton, Alberta 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.