MFDA Order

View and Download English PDF
Home › Order 201115 - RE: Arseneau, Thomas G.




Order
File No. 201115






IN THE MATTER OF A DISCIPLINARY HEARING
PURSUANT TO SECTIONS 20 AND 24 OF BY-LAW NO. 1 OF
THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA


Re: Thomas G. Arseneau



ORDER


WHEREAS on December 22, 2011, the Mutual Fund Dealers Association of Canada
(the “MFDA”) issued a Notice of Hearing pursuant to section 20.1 of By-law No. 1 in respect of
Thomas G. Arseneau (the “Respondent”);

AND WHEREAS on February 17, 2012, a first appearance in this proceeding took place
by teleconference before a hearing panel of the Atlantic Regional Council of the MFDA (the
“Hearing Panel”);

AND WHEREAS the Respondent did not attend the first appearance;

AND WHEREAS Staff of the MFDA made submissions to the Hearing Panel at the first
appearance with respect to scheduling, the status of service of the Notice of Hearing upon the
Respondent, and other procedural matters;


Page 1 of 2

IT IS HEREBY ORDERED THAT:

1.
An interim appearance in this matter shall be conducted by teleconference on March 9,
2012 commencing at 10:00 a.m. (Atlantic), or as soon thereafter as the matter can be heard; and

2.
The hearing of this matter on its merits shall be held on June 26-28, 2012 at a venue to be
determined in Fredericton, New Brunswick commencing at 10:00 a.m. (Atlantic) each day, or as
soon thereafter as the matter can be held.

DATED this 17th day of February, 2012.

“Merlin Nunn”
The Hon. D. Merlin Nunn, Q.C.,

Chair

“Jason Downey”
Jason P. Downey,

Industry Representative

“David Losier”
David Losier,

Industry Representative

Doc 286849

Page 2 of 2