Alberta Securities Commission issues decision in Tamar Eisenberg case
TORONTO, March 28, 2022 /CNW/ – An instructional panel from the Prairie Regional Council of the Mutual Fund Dealers Association of Canada (“MFDA”) rendered its decision and reasons on July 27, 2020 (“Decision and Reasons”), in connection with a disciplinary hearing held on June 24, 2020 in Calgary, AB in respect of Tamar Michelle Eisenberg. A copy of the decision and reasons is available on the MFDA website here.
Ms. Eisenberg applied to the Alberta Securities Commission (“ASC”) for a hearing and review of the MFDA Hearing Panel’s decision on sanctions pursuant to paragraphs 36 and 73 of the Securities Law (alberta), RSA 2000 cS-4 and Section 26.1 of MFDA By-Law No. 1.
A CSA Hearing Panel rendered its decision on March 15, 2022 (“ASC Decision”). A copy of the ASC decision is available on the ASC website here.
The MFDA is the self-regulatory organization for Canadian mutual fund dealers, regulating the transactions, standards of practice and business conduct of its members and their approximately 80,000 Approved Persons with a mandate to protect investors and investors. public interest. For more information on the MFDA’s complaint and enforcement processes, as well as links to ‘Check an Advisor’ and other tools for investors, visit the For Investors page on the MFDA’s website. ACFM.
SOURCE Mutual Fund Dealers Association of Canada
For further information: Charles Toth, Vice President, Application, 416-943-4619, [email protected]; Mark Stott, Vice President, Prairie Region, 403-215-8329, [email protected]