TORONTO, April 8, 2021 /CNW/ – The Mutual Fund Dealers Association of Canada ("MFDA") commenced a disciplinary proceeding in respect of Sylvia Suk Fan Wong ("Respondent") by Notice of Hearing dated July 4 2019.
In its Decision (Misconduct) and Reasons dated February 22, 2021, the Hearing Panel outlined its reasons for its findings of misconduct made against the Respondent.
A penalty hearing in this proceeding was held on April 7, 2021, by electronic hearing in Vancouver, British Columbia before a three-member Hearing Panel of the MFDA's Pacific Regional Council. After hearing submissions from the parties, the Hearing Panel imposed the following sanctions on the Respondent and advised that it will issue written reasons in due course:
- a fine in the amount …