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Order

Re:

Order


Order
File No. 201349





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: Ashutosh Kumar Singh



ORDER


WHEREAS on October 8, 2013, 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 Ashutosh Kumar Singh
(the “Respondent”);

AND WHEREAS due to uncertainty about the location of the Respondent’s place of
residence, a copy of the Notice of Hearing was not served on the Respondent until Monday,
November 11, 2013;

AND WHEREAS on November 11, 2013, a copy of the Notice of Hearing was left by a
process server with an adult male individual who confirmed orally to the process server that the
Respondent resides at the address where the Notice of Hearing was delivered;

AND WHEREAS according to Rule 7.1(2) of the MFDA Rules of Procedure, a Notice
of Hearing is required to be served at least 30 days prior to the commencement of the hearing or
the date of the first appearance in the hearing, unless a Hearing Panel orders otherwise;

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AND WHEREAS the first appearance in this proceeding was scheduled to take place by
teleconference before a hearing panel of the Central Regional Council of the MFDA (the
“Hearing Panel”) on Monday, November 18, 2013;

AND WHEREAS the Respondent did not respond to the Notice of Hearing nor
participate in the first appearance on November 18, 2013, either personally or through a lawyer
or an agent;

AND UPON hearing submissions from counsel for Staff of the MFDA (“Staff”) during
the first appearance concerning service of the Notice of Hearing;

IT IS HEREBY ORDERED THAT:

1.
The first appearance in this proceeding is adjourned and shall continue by teleconference
on Tuesday, December 17, 2013 at 10:00 a.m., or as soon thereafter as the matter can be heard;
and

2.
Staff shall serve notice of the new date when this first appearance shall take place by
retaining a process server to deliver notice of the new date to the Respondent and by sending a
copy of the Notice of Hearing and notice of the new date to the Respondent by e-mail at the
Respondent’s last known e-mail address.

DATED this 18th day of November, 2013.

“Patrick T. Galligan”
The Hon. Patrick T. Galligan, Q.C.,

Chair

“Brigitte Geisler”
Brigitte Geisler,

Industry Representative

“Teri L. Ryan”
Teri L. Ryan,

Industry Representative
DM 361244 v2
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