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Notice of Settlement Hearing

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:

Notice of Settlement Hearing



Notice of Settlement Hearing
File No. 200914





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: Michael Rosenfelder


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 located at 121 King Street West, Suite 1000,
Toronto, Ontario on April 20, 2010 at 10:00 a.m. (Eastern), 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 Michael Rosenfelder (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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PARTICULARS

1.
The Settlement Agreement concerns allegations that between January and
September 2005, the Respondent engaged in securities related business that was not
carried on for the account of the Member and through the facilities of the Member,
contrary to MFDA Rule 1.1.1.

2.
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 April, 2010.

“Jason D. Bennett”

Jason D. Bennett

Corporate Secretary

Mutual Fund Dealers Association of Canada
121 King St. West, Suite 1000
Toronto, Ontario
M5H 3T9
Telephone: 416-943-7431
Facsimile: 416-361-9781
Email: [email protected]

Doc 208154
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