November 23, 2021 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of David Wayne Nichol (“Respondent”) by Notice of Hearing dated June 25, 2021.
An appearance in this proceeding was held today by videoconference before a Hearing Panel of the MFDA’s Prairie Regional Council.
Following submissions by the parties, the hearing of this matter on its merits, originally set for November 23, 2021, has been rescheduled to proceed by electronic hearing on February 24, 2022, commencing at 9:00 a.m. (Mountain), 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.
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 conducted business in the Winnipeg, Manitoba 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 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.