MFDA cancels interim appearance in the matter of Nicholas Rivet

March 14, 2022 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Nicholas Andrew Rivet (the “Respondent”) by Notice of Hearing dated November 16, 2021 (“Notice of Hearing”).

The interim appearance in this proceeding, scheduled for March 15, 2022 for the purpose of considering any procedural or scheduling matters, has been cancelled.

As previously announced, the hearing of this matter on its merits will take place electronically by videoconference before a Hearing Panel of the MFDA’s Central Regional Council on June 22-23, 2022, commencing at 10:00 a.m. (Eastern), each day, or as soon thereafter as the matter can be heard. The proceeding will be open to the public, except as may be required for the protection of confidential matters.

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 North Bay, Ontario area.

The MFDA is the self-regulatory organization for Canadian mutual fund dealers, regulating the operations, standards of practice and business conduct of its 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.