Notice of Settlement Hearing

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.

PARTICULARS

1. The proposed Settlement Agreement concerns allegations that the Respondent, between February 2016 and July 2016, obtained, possessed, and used to process transactions, 14 pre-signed account forms in respect of 6 clients, contrary to MFDA Rule 2.1.1.
2. MFDA settlement hearings are typically held in the absence of the public pursuant to