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Order

Re:

Order

Order
File No. 201408






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: Robert William Marshall



ORDER



WHEREAS on October 16, 2014, the Mutual Fund Dealers Association of Canada (the
“MFDA”) issued a Notice of Hearing pursuant to sections 20 and 24 of MFDA Bylaw No. 1 in
respect of a disciplinary proceeding commenced against Robert William Marshall (the
“Respondent”);

AND WHEREAS the first appearance in this proceeding was scheduled to take place on
December 1, 2014 and was rescheduled to December 12, 2014;

AND WHEREAS the first appearance took place on December 12, 2014 via
teleconference before one public representative of a Regional Council acting on behalf of a
Hearing Panel of the Central Regional Council of the MFDA (the “Hearing Panel”), pursuant to
section 19.13(b) of MFDA Bylaw No. 1;

AND WHEREAS the Respondent filed a Reply on November 10, 2014;
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AND UPON hearing the submissions of counsel for the Respondent and counsel for Staff
of the MFDA (“Staff”) at the first appearance with respect to various matters including service of
the Notice of Hearing on the Respondent, and proposed dates for the Hearing on the Merits;

IT IS HEREBY ORDERED THAT:

1.
The hearing of this matter on its merits is scheduled to proceed on January 14, 2015,
commencing at 9:30 a.m. (Eastern), or as soon thereafter as the hearing can be held, in the
hearing room located at 121 King Street West, Suite 1000, Toronto, Ontario.


DATED this 12th day of December, 2014.

“Mark J. Sandler”
Mark J. Sandler

Chair

DM 381484 v2

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