Order

WHEREAS on July 6, 2020, 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 (the “Notice of Hearing”) in respect of a disciplinary proceeding commenced against Jewel Mary Henricks (the “Respondent”) which shall take place before a hearing panel of the Pacific Regional Council (the “Hearing Panel”);

AND WHEREAS in accordance with s. 19.13 of MFDA By-Law No. 1, a second appearance in this hearing was held by videoconference before a public representative of the Pacific Regional Council of the MFDA on November 6, 2020;

AND WHEREAS counsel for Staff and the Respondent attended the first appearance by teleconference on November 6, 2020 to address scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:

1. In accordance with Rule 10.2 of the MFDA Rules of Procedure, the Respondent shall provide documentary disclosure to Staff on or before December 4, 2020;
2. In accordance with Rule 11 of the MFDA Rules of Procedure, the parties shall exchange lists of anticipated witnesses, and in respect of each witness named on the list, provide a witness statement signed by the witness, a transcript of a recorded statement by the witness, or a summary of the evidence that the witness is expected to give at the hearing, on or before December 18, 2020;
3. In accordance with Rule 5.1(1)(b) of the MFDA Rules of Procedure, the hearing of this matter on its merits shall proceed as an electronic hearing; and
4. Subject to any further order of the Hearing Panel, the date for the hearing of this matter on its merits is rescheduled and will take place on January 21, 2021 and January 22, 2021, commencing at 10:00 am (Pacific), each day.