Rodney M. Warren; Mutual Fund Dealers Association of Canada; Executive Director

Date Opened:
2016-06-13
Hearing Type:
Review
Status:
Hearing held; Submissions pending
 
Hearing Dates:
2017-06-14;
Panel:
George C. Glover - Chair, Nigel P Cave, Suzanne K Wiltshire
Please Note:
Hearing concluded: Mr. Warren and the MFDA have requested a review of a MFDA hearing panel penalty decision dated October 27, 2016. On June 14, 2017, the Panel heard the parties' submissions. The parties' additional written submissions on Mr. Warren's application to introduce new evidence are due July 13, 2017.


Notices & Decisions

Date Issued Document Type Description
2017-02-15 Notice Hearing Notice - Hearing Date 2017 BCSECCOM 44
2016-11-29 Request for review Application by Rodney M. Warren for review of the MFDA's hearing panel's penalty decision dated October 27, 2016
2016-11-25 Request for review Application by MFDA for review of the MFDA's hearing panel's penalty decision dated October 27, 2016
2016-06-07 Request for review Application by Rodney M. Warren for review of the MFDA's hearing panel's decision dated May 5, 2016