Notice of Settlement Hearing
File No. 201568
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: Anthony Carty
NOTICE OF SETTLEMENT HEARING
NOTICE is hereby given that a hearing will be held 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 offices of the MFDA, located at 121 King Street West,
Suite 1000, Toronto, Ontario on April 28, 2016 at 10:00 a.m. (Eastern), or as soon thereafter as
the matter can be heard, 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 Anthony Carty (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.
Page 1 of 2
The proposed Settlement Agreement concerns allegations that between December 2010
and October 2013, the Respondent obtained and used to process transactions, 12 pre-signed
account forms in respect of two (2) clients, 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 16th day of December, 2015.
Director of Regional Councils
Mutual Fund Dealers Association of Canada
121 King Street West, Suite 1000
Toronto, ON M5H 3T9
DM 458376 v1
Page 2 of 2