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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: Michael Andrew Harrigan

Order

DIRECTIONS


(ARISING FROM RESPONDENT’S MOTION TO RECUSE HEARD APRIL 13 &14, 2015)

WHEREAS on May 12, 2014, 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 Michael Andrew Harrigan (the “Respondent”);

AND WHEREAS the Respondent served and filed a Reply;

AND WHEREAS the first appearance in this proceeding took place on July 10, 2014 by means of a teleconference before one public representative of a Regional Council acting on behalf of a Hearing Panel of the Atlantic Regional Council of the MFDA, pursuant to section 19.13(b) of MFDA By-law No. 1;

AND WHEREAS the Hearing on the Merits was scheduled to proceed on April 13-17, 2015 and April 20-24, 2015 commencing each day at 10:00 a.m. (Atlantic) or as soon thereafter as possible in the hearing room at the Nova Scotia Securities Commission at Suite 400, Duke Tower, 5251 Duke Street, Halifax, Nova Scotia;

AND WHEREAS the Respondent brought a Motion returnable April 13, 2015 before a fully empanelled Hearing Panel (the “Hearing Panel”) seeking to have the Chair of the Hearing Panel recused based on the alleged grounds of reasonable apprehension of bias;

AND WHEREAS on April 13 and 14, 2015, the Hearing Panel received oral and written submissions from the Respondent, acting pro se, and counsel for Staff in respect of the Respondent’s motion;

AND WHEREAS the Chair recused himself from continuing to act as Chair in this proceeding, with written reasons for decision to follow;

AND WHEREAS on April 14, 2015, following the Chair’s recusal, the Respondent and counsel for Staff requested of the two industry representatives remaining on the Hearing Panel that an appearance be scheduled in order to reschedule the Hearing on the Merits once a new Chair was appointed;

IT IS HEREBY DIRECTED BY THE TWO INDUSTRY REPRESENTATIVES THAT:

  1. May 5, 2015 at 10:00 a.m. (Atlantic) is scheduled as a “to be spoken to” date before the Hearing Panel (to be comprised of the two industry representatives and a newly appointed Chair) via teleconference, in order that the Hearing on the Merits may be scheduled and any other matters attended to.
  • Ann C. Etter
    Ann C. Etter
    Chair
  • Robert G. Malcolm
    Robert G. Malcolm
    Industry Representative

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