Policy
Regional Councils - Membership Suspension Hearings
Mutual Fund Dealers Association of Canada
Association canadienne des courtiers de fonds mutuels
121 King Street West, Suite 1000, Toronto, Ontario, M5H 3T9
TEL: 416-361-6332 FAX: 416-361-9781 WEBSITE: www.mfda.ca
Contact: Gregory J. Ljubic
BULLETIN #0199 – P
Corporate Secretary & Director, Regional Councils
June 23, 2006
Phone:
416-943-5836
E-mail:
[email protected]
MFDA Bulletin
Policy
For Distribution to Relevant Parties within your Firm
Regional Councils – Membership Suspension Hearings
On June 13, 2006 a Hearing Panel of the Ontario Regional Council suspended the rights and
privileges of MFDA membership in respect of Olympus United Group Inc. and iForum
Financial Services Inc. pursuant to sections 24.3.1(a) and (b) of MFDA By-law No. 1
(Suspensions in Certain Circumstances).
Also on June 13, 2006, a Hearing Panel of the Atlantic Regional Council suspended the rights
and privileges of MFDA membership in respect of Tandem Wealth Management Inc. pursuant
to section 24.3.1(b) of MFDA By-law No. 1 (Suspensions in Certain Circumstances).
Copies of the Hearing Panels’ Orders are available on the MFDA website at www.mfda.ca.
The Mutual Fund Dealers Association of Canada is the self-regulatory organization for Canadian
mutual fund dealers. The MFDA regulates the operations, standards of practice and business
conduct of its 176 Members and their approximately 75,000 Approved Persons with a mandate
to protect investors and the public interest.
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