![]() ![]() ![]() For more information about the MFDA's complaint and enforcement processes, as well as links to 'Check an Advisor' and other Investor Tools, visit the For Investors page on the MFDA website. The MFDA is the self-regulatory organization for Canadian mutual fund dealers, regulating the operations, standards of practice and business conduct of its Members and their approximately 80,000 Approved Persons with a mandate to protect investors and the public interest. The result is some of the fattest, punchiest, most mix ready virtual drums in the industry And now you can use these classic Chris Lord-Alge drums in Steven Slate Drums (SSD) Virtual Drum instrument and Steven Slate TRIGGER Drum Replacer/Enhancer. In the Settlement Agreement, the Respondent admitted that:Ī copy of the Settlement Agreement is available on the MFDA website at During the period described in the Settlement Agreement, the Respondent conducted business in the Labrador City, Newfoundland and Labrador area. The Hearing Panel accepted the settlement agreement dated Decem("Settlement Agreement"), between Staff of the MFDA and the Respondent, as a consequence of which the following sanctions were imposed on the Respondent:Ī prohibition from conducting securities related business in any capacity while in the employ of or associated with any MFDA Member for a period of two years Ī fine in the amount of $5,000, payable in instalments as follows: John's, Newfoundland and Labrador before a three-member Hearing Panel of the Atlantic Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA"). 9, 2021 /CNW/ - A settlement hearing in the matter of Joshua O'Brien (the "Respondent") was held today by electronic hearing in St. ![]()
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