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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. 201554



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: Robert John Kent




NOTICE OF SETTLEMENT HEARING


NOTICE is hereby given that a hearing will be held before a hearing panel of the Atlantic
Regional Council (the “Hearing Panel”) of the Mutual Fund Dealers Association of Canada (the
“MFDA”) on March 4, 2016 at 10:00 a.m. (Newfoundland), or as soon thereafter as the matter
can be heard, at a venue to be announced in St. John’s Newfoundland, to consider whether,
pursuant to section 24.4 of MFDA By-law No. 1, the Hearing Panel should accept a settlement
agreement (the “Settlement Agreement”) entered into between Staff of the MFDA and Robert
John Kent (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 Settlement Agreement concerns allegations that between about April 2013 and July
2014, the Respondent obtained, and used to process trades, 11 pre-signed Order Instructions
forms in respect of 8 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 13th 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: 416-945-5143
Facsimile: 416-361-9781
Email: [email protected]

DM 453255 v1

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