November 13, 2020 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Troy Allen Hale (“Respondent”) by Notice of Hearing dated August 21, 2020.
An appearance in this proceeding was held yesterday by teleconference before a Hearing Panel of the MFDA’s Prairie Regional Council.
Following submissions by the parties, the hearing of this matter on its merits is scheduled to take place by electronic hearing on December 15, 2020, commencing at 10:00 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 carried on business in the Medicine Hat, 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.