September 24, 2021 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Antony Kin San Chau (“Respondent”) by Notice of Hearing dated July 9, 2021.
The interim appearance in this proceeding, originally scheduled to be held on September 29, 2021, will now take place before a Hearing Panel of the MFDA’s Central Regional Council by teleconference on October 6, 2021 at 10:00 a.m. (Eastern). The appearance 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.