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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. 201219



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: Kenneth Rattenbury




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 located at the Shaw Conference Centre, 9797 Jasper Avenue
Northwest, Edmonton, Alberta on October 17, 2012 at 10:00 a.m. (Mountain), or as soon
thereafter as the hearing can be held, to consider whether, pursuant to section 24.4 of MFDA By-
law No. 1, the Hearing Panel should accept the settlement agreement (the “Settlement
Agreement”) entered into between Staff of the MFDA and Kenneth Rattenbury (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 MFDA By-law No. 1.

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PARTICULARS

1.
The proposed Settlement Agreement concerns allegations that the Respondent, between
August 26, 2004 and November 18, 2010, maintained and used 63 photocopies of trade
instruction forms signed by clients in blank to process trades in the accounts of 10 clients,
thereby failing to observe high standards of ethics and conduct in the transaction of business,
contrary to MFDA Rule 2.1.1(b).

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 26th day of September, 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]









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