This is a Third Party Document.
IN THE MATTER OF A DISCIPLINARY HEARING PURSUANT TO SECTIONS 20 AND 24 OF BY-LAW NO. 1 OF THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA
Branislav Robert Djekic
NOTICE is hereby given that a first appearance will take place by teleconference before a hearing panel of the Central Regional Council (the “Hearing Panel”) of the Mutual Fund Dealers Association of Canada (the “MFDA”) in the hearing room at the MFDA offices, located at 121 King Street West, Suite 1000, Toronto, Ontario on November 22, 2016 at 10:30 a.m. (Eastern), or as soon thereafter as the hearing can be held, concerning a disciplinary proceeding commenced by the MFDA against Branislav Robert Djekic (the “Respondent”).
DATED: Sep 19, 2016
Director of Regional Councils
Mutual Fund Dealers Association of Canada
121 King St. West, Suite 1000
Toronto, ON M5H 3T9
NOTICE is further given that the MFDA alleges the following violations of the By-laws, Rules or Policies of the MFDA:
Allegation #1: On November 20, 2014, the Respondent falsified one client’s signature on one account form, contrary to MFDA Rule 2.1.1.
Allegation #2: On November 24, 2014, the Respondent misled the Member when he falsely represented to his branch manager that a client had signed an account form, when he knew this to be incorrect, contrary to MFDA Rule 2.1.1.