|By PR Newswire||
|February 18, 2014 04:32 PM EST||
TORONTO, Feb. 18, 2014 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") has commenced a disciplinary proceeding in respect of Mahmoud Akberali Visanji (the "Respondent"). Staff of the MFDA alleges in its Notice of Hearing, dated February 11, 2014, that the Respondent engaged in the following conduct contrary to the By-laws, Rules and/or Policies of the MFDA:
Allegation #1: Between 2003 and December 14, 2011, the Respondent misappropriated approximately $445,426.50 from at least 12 individuals, 8 of whom were clients or former clients of the Member(s), thereby failing to deal fairly, honestly and in good faith with the clients and engaging in conduct unbecoming an Approved Person, contrary to MFDA Rule 2.1.1.
Allegation #2: Between June 2010 and December 14, 2011, the Respondent engaged in personal financial dealings with 2 clients by borrowing a total of $22,000 from them which he failed to repay in full, thereby giving rise to a conflict or potential conflict of interest which the Respondent failed to address by the exercise of responsible business judgment influenced only by the best interests of the clients, contrary to MFDA Rules 2.1.4 and 2.1.1.
Allegation #3: Between 2003 and December 14, 2011, the Respondent had and continued in another gainful occupation which was not disclosed to and approved by the Member by participating in or operating a mortgage business, contrary to MFDA Rules 1.2.1(d) and 2.1.1.
The first appearance in this matter will take place by teleconference before a Hearing Panel of the MFDA's Central Regional Council on April 2, 2014 at 11:00 a.m. (Eastern) in the MFDA hearing room located at 121 King Street West, Suite 1000, Toronto, Ontario. The purpose of the appearance is to set a date for the hearing of this matter on its merits and to address any other procedural matters. The appearance will be open to the public, except as may be required for the protection of confidential matters.
The MFDA is the self-regulatory organization for Canadian mutual fund dealers, regulating the operations, standards of practice and business conduct of its 111 Members and their approximately 80,000 Approved Persons with a mandate to protect investors and the public interest. 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.
SOURCE Mutual Fund Dealers Association of Canada
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