MFDA Hearing Panel makes findings against Zhengwen Qi and Xiaodan Huang and issues Decision and Reasons (Misconduct)
TORONTO, July 8, 2013 /CNW/ - A Hearing Panel of the MFDA's Central Regional Council has issued its Decision and Reasons (Misconduct) in connection with a disciplinary hearing held in Toronto, Ontario on June 18, 2013 in respect of Zhengwen (Katherine) Qi and Xiaodan (Bonnie) Huang.
In its Decision and Reasons (Misconduct), the Hearing Panel found that the allegations made against the Respondents in the Notice of Hearing had been established and directed that submissions with respect to penalty will take place on a date to be determined.
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