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. 201551
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: Jose Coelho
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 offices of the MFDA, located at 121 King Street West,
Suite 1000, Toronto, Ontario on January 28, 2016 at 10:00 a.m. (Eastern), or as soon thereafter
as the matter can be heard, 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 Jose Coelho (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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1.
The Settlement Agreement concerns allegations that between August 2006 and
September 2013, the Respondent:
a) obtained, possessed, and in some instances, used to process transactions, 49 pre-
signed forms in respect of 27 clients, contrary to MFDA Rule 2.1.1; and
b) altered and used to process transactions, 6 client account forms in respect of 7 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 9th day of November, 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: 416-943-5143
Facsimile: 416-361-9781
Email: corporatesecretary@mfda.ca
DM 453259 v1
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