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March 30, 2023 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada, now New Self-Regulatory Organization of Canada (“New SRO”), commenced a disciplinary proceeding in respect of Michael Bock (the “Respondent”) by Notice of Hearing dated November 18, 2022 (the “Notice of Hearing”).
An appearance in this proceeding was held electronically by videoconference on February 24, 2023 before a Hearing Panel of the New SRO’s Alberta District Hearing Committee.
Following submissions by the parties, the Hearing on the Merits has been scheduled to take place electronically by videoconference on June 13, 2023, commencing at 10:00 a.m. (Mountain), or as soon thereafter as the matter can be held. The proceeding will be open to the public, except as may be required for the protection of confidential matters. Members of the public who would like to participate should contact [email protected] to obtain particulars.
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.
New Self-Regulatory Organization of Canada is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. New SRO 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.newselfregulatoryorganizationofcanada.ca.
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