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Order
File No. 201257





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: Dorothy Siu Wah Chan



ORDER


WHEREAS on April 16, 2013 the Mutual Fund Dealers Association of Canada (“the
MFDA”) issued a Notice of Hearing pursuant to sections 20 and 24 of MFDA By-law No. 1 in
respect of a disciplinary proceeding commenced against Dorothy Siu Wah Chan (the
“Respondent”);

AND WHEREAS on April 19, 2013, the Notice of Hearing was personally served on the
Respondent as shown by the Affidavit of Clifford S. Neil, and the exhibits attached thereto;

AND WHEREAS on June 4, 2013, a first appearance in this proceeding took place by
teleconference before a hearing panel of the Pacific Regional Council of the MFDA (the
“Hearing Panel”);

AND WHEREAS Staff of the MFDA and the Respondent attended the first appearance
by teleconference and made submissions to the Hearing Panel with respect to scheduling and
other procedural matters;

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IT IS HEREBY ORDERED THAT the hearing of this matter on its merits shall take
place before the Hearing Panel in the MFDA hearing room located at 650 West Georgia Street,
Suite 1220, Vancouver, British Columbia, on September 10, 2013 commencing at 10:00 a.m.
(Pacific), or as soon thereafter as the matter can be heard.

DATED this 4th day of June, 2013.

“H. Benjamin Casson”
The Hon. H. Benjamin Casson, Q.C.,

Chair

“David B. Webb”
David B. Webb,

Industry Representative

“Brian Cheung”
Brian Cheung

Industry Representative

DM 343227 v2

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