Today's Top SOA Links
From the Wires
MFDA Hearing Panel makes findings against Enzo DeVuono and issues Decision and Reasons (Misconduct)
By: PR Newswire
Jan. 22, 2013 04:19 PM
TORONTO, Jan. 22, 2013 /CNW/ - A Hearing Panel of the MFDA's Pacific Regional Council has issued its Decision and Reasons (Misconduct) in connection with a disciplinary hearing held in Vancouver, British Columbia in respect of Enzo Devuono (the "Respondent").
In its Decision and Reasons (Misconduct), the Hearing Panel found that the first and second allegations made against the Respondent in the Notice of Hearing had been established. The Hearing Panel directed that submissions with respect to penalty will take place on a date and at a venue to be announced.
The MFDA is the self-regulatory organization for Canadian mutual fund dealers, regulating the operations, standards of practice and business conduct of its 115 Members and their approximately 80,000 Approved Persons with a mandate to protect investors and the public interest.
SOURCE Mutual Fund Dealers Association of Canada
Web 2.0 Latest News
Subscribe to the World's Most Powerful Newsletters
Subscribe to Our Rss Feeds & Get Your SYS-CON News Live!
SYS-CON Featured Whitepapers
Most Read This Week