Order: In the Matter of the Mutual Fund Dealers Association and Omar Enrique Rojas Diaz (also known as Omar Rojas)
IN THE MATTER OF THE MUTUAL FUND DEALERS ASSOCIATION
AND OMAR ENRIQUE ROJAS DIAZ (ALSO KNOWN AS OMAR ROJAS)
Lawrence P. Haber, Commissioner and Chair of the Panel
File No. 2021-7
October 5, 2021
ORDER
(Sections 21.7 and 8 of the Securities Act, RSO 1990, c S.5)
WHEREAS on August 12, 2021, the Ontario Securities Commission held a hearing by videoconference in relation to the application brought by the Mutual Fund Dealers Association (MFDA) to review the decision of the Mutual Fund Dealers Association Central Regional Council dated January 29, 2021 (the MFDA Order);
ON READING the materials filed by the parties and hearing the submissions of the representatives of the MFDA, Staff of the Commission, and Omar Enrique Rojas Diaz (the Respondent) appearing on his own behalf;
IT IS ORDERED THAT:
- the Respondent shall pay a fine of $52,270 to the MFDA pursuant to section 24.1.1(b) of MFDA By-law No. 1, in addition to the penalty set out in the MFDA Order.
“Lawrence P. Haber”
Lawrence P. Haber