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August 14, 2023 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”), now Canadian Investment Regulatory Organization (“CIRO”), commenced a disciplinary proceeding in respect of Michael Bock (the “Respondent”) by Notice of Hearing dated November 18, 2022 (the “Notice of Hearing”).
A disciplinary hearing in this proceeding was held electronically by videoconference on July 26, 2023 before a three-member Hearing Panel of the CIRO’s Alberta District Hearing Committee. After receiving the evidence and hearing submissions by the parties with respect to misconduct and penalty, the Hearing Panel reserved its judgment and advised it will issue its decision and written reasons in due course.
A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca. During the period described in the Notice of Hearing, the Respondent conducted business in the Calgary, Alberta area.
Canadian Investment Regulatory Organization is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. CIRO is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments. For more information, visit www.ciro.ca.
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