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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. 201543



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: Adam Alexander Aleshka




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 a hearing room located at the Manitoba Securities Commission, 500-400 St. Mary
Avenue, Winnipeg, Manitoba, on October 27, 2015, at 10:00 a.m. (Central), 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 Adam Alexander Aleshka (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 the Respondent, between
February 20, 2012 and February 16, 2014, obtained and used 29 pre-signed partially completed
or photocopied versions of pre-signed partially completed forms in respect of 14 client accounts,
contrary to MFDA Rule 2.1.1(c).

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 29th day of September, 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 446908 v2

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