Notice of Settlement Hearing
File No. 201422
IN THE MATTER OF A SETTLEMENT HEARING
PURSUANT TO SECTION 24.4 OF BY-LAW NO. 1 OF
THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA
Re: Paul Jerome Edmond
NOTICE OF SETTLEMENT HEARING
NOTICE is hereby given that a hearing will be held before a hearing panel of the Prairie
Regional Council (the “Hearing Panel”) of the Mutual Fund Dealers Association of Canada (the
“MFDA”) in a hearing room located at the Manitoba Securities Commission, 500-400 St. Mary
Avenue, Winnipeg, Manitoba, on March 6, 2015, at 10:00 a.m. (Central), or as soon thereafter as
the hearing can be held, to consider whether, pursuant to section 24.4 of By-law No. 1 of the
MFDA, the Hearing Panel should accept the settlement agreement (the “Settlement Agreement”)
entered into between Staff of the MFDA and Paul Jerome Edmond (the “Respondent”).
The subject matter of the proposed Settlement Agreement concerns matters for which the
Respondent may be disciplined as an Approved Person of the MFDA, pursuant to ss. 20 and
24.1.1 of By-law No. 1 of the MFDA.
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The proposed Settlement Agreement concerns allegations that the Respondent, between
February 2008 and April 2013, obtained, maintained, and used to process transactions, a total of
74 blank pre-signed account forms or photocopies of partially complete pre-signed account
forms which the Respondent altered after the clients had signed the account forms, in respect of
30 client accounts, contrary to MFDA Rule 2.1.1.
The hearing is open to the public, unless and to the extent that the Hearing Panel
determines that all or part of the hearing should proceed in the absence of the public. If the
Hearing Panel accepts the Settlement Agreement, then copies of the decision of the Hearing
Panel and the Settlement Agreement will be made available to the public.
DATED this 29th day of January, 2015.
Director of Regional Councils
Mutual Fund Dealers Association of Canada
121 King Street West, Suite 1000
DM 410048 v2
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