MFDA Order

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File No. 201937

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: Joel Henry Attis

Order

(ARISING FROM SECOND APPEARANCE ON AUGUST 20, 2020)

WHEREAS on December 18, 2019, the Mutual Fund Dealers Association of Canada (the “MFDA”) issued a Notice of Hearing pursuant to sections 20 and 24 of MFDA Bylaw No. 1 in respect of a disciplinary proceeding commenced against Joel Henry Attis (the “Respondent”);

AND WHEREAS the Respondent served and filed a Reply;

AND WHEREAS on February 25, 2020, a first appearance was held via 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 Bylaw No. 1, and the Hearing on the Merits was scheduled to proceed on September 16-18, 2020;

AND WHEREAS on August 20, 2020, a second appearance was held via videoconference before one public representative of a Regional Council acting on behalf of a Hearing Panel of the Atlantic Regional Council of the MFDA;

AND UPON hearing the submissions of counsel for the Respondent and counsel for Staff of the MFDA (“Staff”) at the second appearance with respect to various matters;

IT IS HEREBY ORDERED THAT:

  1. an appearance is scheduled to proceed by teleconference before the Hearing Panel on September 24, 2020 at 10:00 a.m. (Atlantic); and
  2. the Hearing on the Merits is adjourned sine die and new dates will be scheduled for the Hearing on the Merits to proceed before the Hearing Panel in Moncton, New Brunswick.

DATED: Aug 20, 2020

"Thomas J. Lockwood"

Thomas J. Lockwood

Chair


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