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Order

Re:

Order


Order
File No. 201130





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: Anu Bala Jain



ORDER


WHEREAS on December 16, 2011, the Mutual Fund Dealers Association of Canada
(the “MFDA”) issued a Notice of Hearing pursuant to sections 20 and 24 of MFDA By-law No.
1 in respect of a disciplinary proceeding commenced against Anu Bala Jain (the “Respondent”);

AND WHEREAS on December 16, 2011, with the consent of the Respondent’s counsel,
the Respondent’s counsel was served with a copy of the Notice of Hearing by

e-mail in accordance with Rule 4.2(1)(c) and (d) of the MFDA Rules of Procedure and on
December 19, 2011, a hard copy of the Notice of Hearing was sent to the Respondent’s counsel
by courier;

AND WHEREAS in January 2012, the Respondent requested and was granted an
extension of time to file a Reply to the Notice of Hearing;

AND WHEREAS the first appearance in this proceeding took place by teleconference
before a hearing panel of the Central Regional Council of the MFDA (the “Hearing Panel”) on
February 8, 2012;

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

IT IS HEREBY ORDERED THAT:

1. The next appearance in this proceeding is scheduled to take place on February
27, 2012 at 10:00 a.m., or as soon thereafter as the appearance can be held.

2. If the parties reach a settlement agreement prior to the next appearance, a
Settlement Hearing can be held by oral hearing in person in the hearing room located at the
offices of the MFDA at 121 King Street West, Suite 1000, Toronto, Ontario when the hearing
resumes. If the parties do not reach a settlement, the next appearance can proceed by
teleconference and the parties may seek directions from the Hearing Panel or raise procedural or
scheduling matters that should be dealt with prior to the hearing on the merits.

DATED this 8th day of February, 2012.

“John Webber”
The Hon. John Webber, Q.C.,

Chair

“Brigitte Geisler”
Brigitte Geisler,

Industry Representative

“Susan Schulze”
Susan Schulze,
Industry Representative

Doc 285124

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