Notice of Settlement Hearing
File No. 201662
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: Tanis Karen Techer
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 the hearing room at Delta Hotels Edmonton Centre Suites, located at, 10222 – 102
Street, Edmonton, Alberta on November 3, 2016 at 10:00 a.m. (Mountain), 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 Tanis Karen Techer (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:
a) on or about September 8, 2011, the Respondent falsified and used to process a
transaction, one (1) client account form in relation to one (1) client, by altering the
client account form without having the client initial the alteration, contrary to MFDA
Rule 2.1.1; and
b) between January 24, 2012 and March 10, 2015, the Respondent obtained, possessed
and, in two (2) instances, used to process transactions, eight (8) pre-signed client
account forms in relation to four (4) 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 26th day of August, 2016.
Director of Regional Councils
Mutual Fund Dealers Association of Canada
121 King Street West, Suite 1000
Toronto, ON M5H 3T9
DM 500283 v1
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