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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: Edward William Romaniuk

Heard: November 26, 2021 by electronic hearing in Toronto, Ontario
Reasons For Decision: January 20, 2022

Reasons For Decision

Hearing Panel of the Central Regional Council:

  • Paul M. Moore, Chair
  • Guenther W.K. Kleberg, Industry Representative

Appearances:

Brendan Forbes, Enforcement Counsel for the Mutual Fund Dealers Association of Canada
Ashley Thomassen, Counsel for Respondent
Edward William Romaniuk, Respondent

  • Paul M. Moore
    Paul M. Moore
    Chair
  • Guenther W.K. Kleberg
    Guenther W.K. Kleberg
    Industry Representative

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