News Release

For immediate release
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For further information, please contact:

Marco Wynnyckyj Manager, Hearings Administration



For immediate release

MFDA sets dates for Hearing on the Merits in the matter of Patrick Caicco

April 23, 2015 (Toronto, Ontario) The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Patrick Pasquale Caicco (the “Respondent”) by Notice of Hearing (the “Notice of Hearing”) dated March 6, 2015.

As specified in the Notice of Hearing, the first appearance in this proceeding took place today by teleconference before a Hearing Panel of the MFDA’s Central Regional Council.

The hearing of this matter on its merits has been scheduled to take place on July 8, 2015, commencing at 10:00 a.m. (Eastern), in the hearing room at the MFDA offices, located at 121 King Street West, Toronto, Ontario. The hearing will be open to the public, except as may be required for the protection of confidential matters.

A copy of the Notice of Hearing is available on the MFDA website at During the period described in the Notice of Hearing, the Respondent conducted business in Ottawa, Ontario.

The MFDA is the self-regulatory organization for Canadian mutual fund dealers, regulating the operations, standards of practice and business conduct of its 104 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.

DM 425091 v1

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