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MFDA Order

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HomeCompleted Hearings201920 - Glen Lawrence Gomes › Order2-201920

File No. 201920

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: Glen Lawrence Gomes

Order

(ARISING FROM APPEARANCE ON MAY 31, 2019)

WHEREAS on March 4, 2019, 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 Glen Lawrence Gomes (the “Respondent”);

AND WHEREAS the Notice of Hearing was served on the Respondent’s counsel by email on April 1, 2019;

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 May 3, 2019;

AND WHEREAS on May 14, 2019, 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 (the “Hearing Panel”), pursuant to s. 19.13 of MFDA By-Law No. 1;

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

AND WHEREAS a second appearance in this proceeding took place by teleconference before the Chair of the Hearing Panel on May 31, 2019; and

AND WHEREAS during the second appearance Staff and counsel for the Respondent made submissions to the Chair of the Hearing Panel with respect to scheduling and other procedural matters.

IT IS HEREBY ORDERED THAT:

  1. In accordance with Rule 10.1 of the MFDA Rules of Procedure, Staff shall provide documentary disclosure to the Respondent on or before July 31, 2019; and
  2. Staff shall provide the Respondent with a witness list and, for each witness that Staff intends to call at the hearing on the merits, a corresponding transcript, signed witness statement or summary of the evidence that the witness is expected to give at the hearing by August 9, 2019 in accordance with Rule 11 of the MFDA Rules of Procedure.

DATED: May 31, 2019

"John Lorn McDougall"

John Lorn McDougall

Chair


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