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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: Richard Kenneth Giuliani

Order

(ARISING FROM FIRST APPEARANCE ON DECEMBER 11, 2017)

WHEREAS on October 9, 2017, the Mutual Fund Dealers Association of Canada (“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 Richard Giuliani (“Respondent”);

AND WHEREAS the Notice of Hearing was served on the Respondent by email on October 30, 2017;

AND WHEREAS in accordance with Rule 8 of the MFDA Rules of Procedure, the Respondent served and filed a Reply to the Notice of Hearing, dated November 21, 2017;

AND WHEREAS on December 11, 2017, the first appearance in this proceeding was held before one public representative of a Regional Council acting as Chair on behalf of a hearing panel of the Central Regional Council of the MFDA (“Hearing Panel”), pursuant to s. 19.13 of MFDA By-law No. 1, during which time the hearing on the merits in this matter was scheduled to take place from May 9-11, 2018, commencing at 10:00 am (Eastern)each day, in the hearing room at the offices of the MFDA, located at 121 King Street West, Suite 1000, Toronto, Ontario;

AND WHEREAS during the first appearance Staff made submissions to the Chair of the Hearing Panel with respect to scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:

  1. The hearing of this matter on its merits shall take place from May 9-11, 2018, commencing at 10:00 am (Eastern) each day, in the MFDA hearing room located at 121 King Street West, Suite 1000, Toronto, Ontario.
  • Frederick W. Chenoweth
    Frederick W. Chenoweth
    Chair

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