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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: Joseph Terrance Sask

Order

(ARISING FROM APPEARANCE ON AUGUST 15, 2018)

WHEREAS on July 17, 2018, the MFDA published on the MFDA public website a news release advising that the date and time of the second appearance would be held by teleconference on August 15, 2018, commencing at 10:00 a.m. (Mountain);

AND WHEREAS on August 15, 2018, the appearance in this proceeding was held before one public representative of a Regional Council acting on behalf of a hearing panel of the Prairie Regional Council of the MFDA (the “Hearing Panel”), pursuant to s. 19.13 of MFDA By-Law No. 1, which permits one public representative of a Regional Council to be designated to act on behalf of a Hearing Panel for the purpose of hearing and determining any procedural matter or motion relating to the conduct of a disciplinary hearing including, setting hearing dates, and making any other orders or directions that a Hearing Panel is authorized to make under the MFDA Rules of Procedure, except a final determination of a disciplinary proceeding;

AND WHEREAS at the appearance on August 15, 2018, the Respondent and MFDA Staff made submissions to the Hearing Panel with respect to scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:

  1. MFDA Staff shall file and serve their witness list, further evidence, or other materials in accordance with MFDA Rules of Procedure 10 and 11 by no later than December 7, 2018 at 9:00 a.m. (Mountain).
  1. The Respondent shall file and serve their witness list, further evidence, or other materials in accordance with MFDA Rules of Procedure 10 and 11 by no later than December 7, 2018 at 9:00 a.m. (Mountain).
  1. The next appearance in this matter shall take place by teleconference on December 7, 2018 at 10:00 a.m. (Mountain), or as soon thereafter as the appearance can be held;
  1. The hearing of this matter on its merits shall take place from January 15, 2019 to January 17, 2019, commencing each day at 10:00 a.m. (Mountain), at a venue to be determined in Edmonton, Alberta.
  • Shelley L. Miller
    Shelley L. Miller
    Chair

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