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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. 201120



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: Chad Mackenzie Peters



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
March 19, 2012 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 Chad Mackenzie Peters (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 proposed Settlement Agreement concerns allegations that:

i) on or about December 22, 2010, the Respondent completed parts of an account
opening document for a client and falsified the signature of the client on the
document, contrary to MFDA Rule 2.1.1; and

ii) on or about December 23, 2010, the Respondent interfered with the ability of the
Member to conduct a reasonable supervisory investigation of his conduct by
providing a false response to the Member in the course of its investigation, before
admitting to the falsification, contrary to MFDA Rules 1.1.2, 2.5.1, and MFDA Rule
2.1.1.

2.
The hearing will be 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 13th day of March, 2012.

“Jason D. Bennett”

Jason D. Bennett

Corporate Secretary

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

Doc 288491

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