MFDA Order

View and Download English PDF
Home › Order 201503 - RE: Caicco, Patrick



Order
File No. 201503






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: Patrick Pasquale Caicco



ORDER



WHEREAS on March 6, 2015, the Mutual Fund Dealers Association of Canada (the
“MFDA”) issued a Notice of Hearing pursuant to sections 20 and 24 of By-law No. 1 in respect
of a disciplinary proceeding commenced against Patrick Pasquale Caicco (the “Respondent”);

AND WHEREAS on April 14, 2015, the Respondent served a Reply to the Notice of
Hearing on counsel for Staff of the MFDA (“Staff”);

AND WHEREAS on April 23, 2015, the first appearance in this proceeding was held by
teleconference before one public representative of a Regional Council acting on behalf of a
hearing panel of the Central Regional Council of the MFDA (the “Hearing Panel”), pursuant to
section 19.13(b) of MFDA By-law No. 1;

AND WHEREAS the Respondent and counsel for Staff attended the first appearance by
teleconference and made submissions to the Hearing Panel with respect to scheduling and other
procedural matters;
Page 1 of 2

IT IS HEREBY ORDERED THAT:

1.
the hearing of this matter on its merits shall take place before the Hearing Panel in the
hearing room at the MFDA offices, located at 121 King Street West, Suite 1000, Toronto,
Ontario on Wednesday, July 8, 2015, commencing at 10:00 a.m. (Eastern), or as soon thereafter
as the matter can be heard.

DATED this 23rd day of April, 2015.

“Martin L. Friedland”
Martin L. Friedland, Q.C.

Chair

DM 425994 v2

Page 2 of 2