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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. 201411



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: Kathleen Hounsome




NOTICE OF SETTLEMENT HEARING

NOTICE is hereby given that a hearing will be held before a hearing panel of the Pacific
Regional Council (the “Hearing Panel”) of the Mutual Fund Dealers Association of Canada (the
“MFDA”) on May 20, 2014 at 10:00 a.m. (Pacific), 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 Kathleen Hounsome (the “Respondent”). The settlement hearing will take
place in Victoria, British Columbia at a venue to be announced.

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 the Respondent, between
July 2010 and April 2012, engaged in a practice unbecoming an Approved Person by
maintaining and using blank forms signed by clients to conduct Member business, contrary to
MFDA Rule 2.1.1.

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 17th day of March, 2014.

“Rohit Kumar”

Rohit Kumar,

Director of Regional Councils

Mutual Fund Dealers Association of Canada
121 King Street West, Suite 1000
Toronto, Ontario
M5H 3T9
Telephone: 416-943-5136
Facsimile: 416-361-9781
Email: [email protected]

DM 372859 v2
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