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Order

Re:

Order


Order
File No. 201040





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: Mark Lindsay



ORDER


WHEREAS on February 23, 2011, 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 Mark Lindsay
(the “Respondent”);
AND WHEREAS the first appearance in this hearing was held by teleconference
before a Hearing Panel of the Central Regional Council of the MFDA (the “Hearing
Panel”) on Monday, April 4, 2011 at 10:00 a.m.(Eastern);
AND WHEREAS the Respondent has not filed a Reply and did not participate in
the first appearance although properly served;
AND WHEREAS the Respondent has informed Staff of the MFDA (“Staff”) in
e-mail communications following receipt of the Notice of Hearing that he does not intend
to participate in this disciplinary proceeding;
AND WHEREAS counsel for Staff of the MFDA made submissions at the first
appearance with respect to scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:
1. The hearing on the merits shall be held on Thursday, June 2nd, 2011 in the hearing
room located at the offices of the MFDA at 121 King Street West, Suite 1000,
Toronto, Ontario, and commence at 10:00 a.m. (Eastern) or as soon thereafter as the
matter can be heard.
2. Notwithstanding the fact that pursuant to Rules 7.3(1)(a) and 8.4(1)(a) of the MFDA
Rules of Procedure, the Respondent is not entitled to further notice with respect to
this proceeding, Counsel for Staff shall inform the Respondent by e-mail of the date
and time of the hearing on the merits and shall extend an offer by e-mail to provide
the Respondent with copies of any material to be filed at or prior to the hearing on the
merits. Staff is not required to serve additional materials on the Respondent unless
the Respondent responds to Staff’s offer by requesting receipt of such materials.

DATED this 4th day of April, 2011.

Per: “Terrance Sweeney”

Terrance A. Sweeney, Chair

Per: “Teri Ryan”

Teri L. Ryan, Industry Representative

Per: “Kenneth Mann”

Kenneth Mann, Industry Representative

Doc 249035

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