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Order

Re:

Order

Order
File No. 201348





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: Edward Andrew Rempel



ORDER



WHEREAS on October 15, 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 Edward Andrew
Rempel (the “Respondent”);

AND WHEREAS on November 11, 2013, the Respondent served and filed a Reply to
the Notice of Hearing;

AND WHEREAS the first appearance in this proceeding took place by teleconference
before a hearing panel of the Central Regional Council of the MFDA (the “Hearing Panel”) on
Wednesday, November 27, 2013;

AND WHEREAS testimony and evidence was presented during the hearing of this
matter on its merits from November 24-28, 2014, January 12-14, 2015 and on February 4, 2015;

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AND WHEREAS the parties agreed to schedule the hearing of oral submissions with
respect to misconduct on May 6, 2015;

AND WHEREAS the parties initially agreed to a schedule for the exchange of written
submissions with respect to misconduct that contemplated the delivery of the written
submissions of Staff on or before Friday, March 20, 2015, the delivery of the written
submissions of the Respondent on or before Thursday, April 2, 2015, and the delivery of written
submissions of Staff in Reply on or before Friday, April 10, 2015;

AND WHEREAS Staff was unable to deliver written submissions until Thursday,
April 9, 2015;

AND WHEREAS counsel for the Respondent requested an appearance before the
Hearing Panel on April 14, 2015 to seek directions and an order setting a revised schedule for the
delivery of written submissions of the Respondent and the written submissions of Staff in Reply;

AND WHEREAS one industry representative of the Hearing Panel was unavailable to
participate in the appearance by teleconference on Tuesday, April 14, 2015 but sections 19.13(b)
and 19.9(b) permit a Hearing Panel to exercise its authority with less than three members of the
Hearing Panel as long as one public representative participates in the decisions that are made;

AND UPON hearing submissions from counsel for Staff of the MFDA (“Staff”) and
counsel for the Respondent concerning the scheduling of further submissions with respect to the
allegations of misconduct;

IT IS HEREBY ORDERED THAT:

1)
The Respondent shall deliver written submissions with respect to misconduct on or
before Friday, May 1, 2015 at 5 p.m.;

2)
Staff shall deliver written submissions in Reply no later than, the earlier of:
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a) 5 p.m. on the third business day after Staff receives the written submissions of the
Respondent; or
b) 5 p.m. on Tuesday, May 5, 2015 (if the Respondent’s submissions are delivered on
Friday, May 1, 2015);

3)
Subject to any further order of the Hearing Panel, the hearing of oral submissions with
respect to misconduct shall take place before the Hearing Panel in the hearing room located at
121 King Street West, Suite 1000, Toronto, Ontario on Wednesday, May 6, 2015 commencing at
10:00 a.m. (Eastern) or as soon thereafter as the matter can be heard.

DATED this 14th day of April, 2015.

“Thomas J. Lockwood”
Thomas J. Lockwood, Q.C.

Chair

“Vlasios Kardaras”
Vlasios Kardaras

Industry Representative

DM 424641 v2

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