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Order

Re:

Order

Order
File No 201533




IN THE MATTER OF A SETTLEMENT HEARING
PURSUANT TO SECTION 24.4 OF BY-LAW NO. 1 OF
THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA


Re: Joanne Elizabeth Williamson



ORDER



WHEREAS the Respondent entered into a settlement agreement with Staff of the
MFDA, dated August 27, 2015 (the “Settlement Agreement”), in which the Respondent agreed
to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss.
20 and 24.1 of By-law No. 1;

AND WHEREAS the Hearing Panel is of the opinion that the Respondent, between
September 25, 2006 and December 23, 2013, obtained, maintained and, in some instances, used
to process transactions, 136 pre-signed blank or partially completed forms in respect of 69 client
accounts, contrary to MFDA Rule 2.1.1;

IT IS HEREBY ORDERED THAT the Settlement Agreement is accepted, as a
consequence of which:

1.
If at any time a non-party to this proceeding requests production of, or access to, any
materials filed in, or the record of, this proceeding, including all exhibits and transcripts, then the
MFDA Corporate Secretary shall not provide copies of, or access to, the requested documents to

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the non-party without first redacting from them any and all intimate financial or personal
information, pursuant to Rules 1.8(2) and (5) of the MFDA Rules of Procedure;

2.
the Respondent shall pay a fine in the amount of $11,000, pursuant to section 24.1.1(b) of
By-law No. 1;

3.
the Respondent shall pay costs in the amount of $2,500, pursuant to section 24.2 of By-
law No. 1; and

4.
in the future, the Respondent shall comply with all MFDA By-laws, Rules and Policies
and all applicable securities legislation and regulations made thereunder including MFDA Rule
2.1.1.

DATED this 15th day of October, 2015.

“Shelley Miller”
Shelley Miller, Q.C.

Chair

“Howard Mix”
Howard Mix

Industry Representative

“Richard Sydenham”
Richard Sydenham

Industry Representative

DM 449146 v2

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