Skip to Main Content

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. 201518


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: Mansu Ding




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, at the MFDA offices, located at 121 King Street West, Suite
1000, Toronto, Ontario on June 17, 2015 at 1:00 p.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 Mansu Ding (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.

Page 1 of 2


PARTICULARS

1.
The proposed Settlement Agreement concerns allegations that between June 2006 and
April 2013, the Respondent:

a) obtained, maintained, and in some instances, used to process trades, 96 blank pre-
signed order entry forms in respect of 22 clients; and
b) altered and used to process trades, two (2) order entry forms in respect of two (2)
clients, 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 3rd day of June, 2015.

“Sarah Rickard”

Sarah Rickard
Director of Regional Councils

Mutual Fund Dealers Association of Canada
121 King Street West, Suite 1000
Toronto, ON M5H 3T9
Telephone: 416-945-5143
Facsimile: 416-361-9781
Email: [email protected]

DM 431176 v2

Page 2 of 2