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Order

Re:

Order

Order
File No. 201538




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: Lisa Hua Deng Huang



ORDER
(ARISING FROM HEARING ON JUNE 23, 2016)



WHEREAS on November 23, 2015, 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 Lisa Hua Deng Huang (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
February 2, 2016;

AND WHEREAS Staff of the MFDA attended the first appearance and made
submissions with respect to scheduling and other procedural matters and no one appeared on
behalf of the Respondent;

AND WHEREAS the Hearing Panel set a date for the Hearing on its Merits of June 23,
2016 at 10:00 a.m. (Eastern) at the offices of the Mutual Fund Dealers Association in Toronto;

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AND WHEREAS on June 23, 2016, the Respondent failed to attend at the Hearing on its
Merits and the Hearing Panel heard submissions as to why the Hearing on its Merits should
proceed in the absence of the Respondent;

AND WHEREAS the Hearing Panel determined that an adjournment of the Hearing on
its Merits to be a more suitable course of action;

IT IS HEREBY ORDERED THAT:

1.
the hearing of this matter on its merits shall resume on September 8, 2016, commencing
at 1:00 p.m. (Eastern), or as soon thereafter as the matter can be heard;

2.
the parties will reserve the date of September 9, 2016 for the continuation of the hearing
on its merits should the time be required; and

3.
in the event that Staff is not available on September 8 and 9, 2016, Staff shall contact the
Corporate Secretary’s Office in order to make arrangements to select a date that is mutually
agreeable to the Hearing Panel and any other party to the proceeding.


DATED this 23rd day of June, 2016.

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

Chair

“Brigitte J. Geisler”
Brigitte J. Geisler

Industry Representative
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“Selwyn Kossuth”
Selwyn Kossuth

Industry Representative

DM 492619 v1
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