Order

WHEREAS on January 30, 2020, the MFDA published on the MFDA public website a news release advising that that an appearance would be held in this matter via teleconference on February 13, 2020, commencing at 11:00 a.m. (Central);

AND WHEREAS the Respondent was provided with notice, via email, that an appearance would be held via teleconference at the date and time specified above;

AND WHEREAS on February 13, 2020, an appearance in this proceeding was held before a hearing panel of the Prairie Regional Council of the MFDA (the “Hearing Panel”) via teleconference;

AND WHEREAS at the appearance on February 13, 2020, no one appeared on behalf of 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. The Respondent shall serve a Reply on Enforcement Counsel and file a Reply with the Office of the Corporate Secretary by no later than March 4, 2020, in the following manner:

   1. The Reply shall be served upon Enforcement Counsel via mail or e-mail at:

      1. Mutual Fund Dealers Association of Canada
         Suite 850, 800 6^th Ave SW
         Calgary, AB T2P 3G3
         Attention: Justin Dunphy
         Email: [email protected]
   2. A Reply shall be filed by:
      1. Providing four copies of the Reply to the Office of the Corporate Secretary by personal delivery, mail or courier to:
         1. The Mutual Fund Dealers Association of Canada
            121 King Street West, Suite 1000
            Toronto, ON M5H 3T9
            Attention: Office of the Corporate Secretary; or
      2. transmitting one electronic copy of the Reply to the Office of the Corporate Secretary by e-mail at [email protected].
2. MFDA Staff shall provide the Respondent with disclosure, as well as their witness list, evidence, and other materials in accordance with MFDA Rules of Procedure 10 and 11 by no later than March 11, 2020;
3. The Respondent shall provide MFDA Staff with disclosure, as well as their witness list, evidence, and other materials in accordance with MFDA Rules of Procedure 10 and 11 by no later than April 8, 2020;
4. The hearing of this matter on its merits shall take place on May 7, 2020 in Winnipeg, Manitoba, commencing at 11:00 a.m. (Central) at a venue to be determined and announced accordingly;
5. The Respondent is hereby given leave to participate in the hearing of this matter on its merits by teleconference; and
6. The parties may re-attend before the public representative of the Hearing Panel via teleconference, pursuant to s. 19.13 of MFDA By-Law No. 1, prior to the hearing of this matter on its merits for the purpose of hearing and determining any procedural matter or motion relating to the conduct of the disciplinary hearing or to this order herein.