Membership Termination Bulletin
Atlantic Regional Council - Membership Termination Hearing - Tandem Wealth Management Inc.
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: Shaun
Devlin
BULLETIN #0219 – P
Vice-President, Enforcement
September 21, 2006
Phone:
416-943-4672
E-mail:
[email protected]
MFDA Bulletin
Policy
For Distribution to Relevant Parties within your Firm
Atlantic Regional Council – Membership Termination Hearing
On September 14, 2006, a Hearing Panel of the Atlantic Regional Council terminated the rights,
privileges and membership of Tandem Wealth Management Inc. in the MFDA pursuant to
section 24.3.2(b) of MFDA By-law No. 1 (Further Suspension, Termination of Rights and
Privileges, Expulsion).
A Copy of the Hearing Panel’s Order is 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 174 Members and their approximately 75,000 Approved Persons with a mandate
to protect investors and the public interest.
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