MFDA Order

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File No. 201609

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: Jack L. Comeau

Order

ARISING FROM FIRST APPEARANCE ON DECEMBER 5, 2016

WHEREAS on October 31st, 2016, 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 Jack L. Comeau (the “Respondent”);

AND WHEREAS the first appearance in this hearing was held before a panel of the Prairie Regional Council of the MFDA (the “Hearing Panel”) on December 5, 2016 at 11:00 a.m. (Mountain);

AND WHEREAS the Respondent was served notice of the appearance and proceeding as it appears from the Affidavit of Service of Sheila Critten sworn October 31, 2016;

AND WHEREAS counsel for the Respondent attended at the first appearance but did not participate other than to advise that the Respondent does not attourn to the jurisdiction of the MFDA and to note the date set for the hearing on the merits;

AND WHEREAS in the opinion of the Hearing Panel, it was appropriate to set a date for the hearing on the merits in this matter to be conducted;

IT IS HEREBY ORDERED THAT:

  1. the hearing on the merits in this matter shall be held on June 21-22, 2017, commencing at 10:00 a.m. (Central) each day, or as soon thereafter as the matter can be held, at a venue to be announced in Saskatoon, Saskatchewan; and
  2. if at any time a non-party to this proceeding, with the exception of the bodies set out in section 23 of MFDA By-law No. 1, requests production of or access to exhibits in this proceeding that contain personal information as defined by the MFDA Privacy Policy, then the MFDA Corporate Secretary shall not provide copies of or access to the requested exhibits to the non-party without first redacting from them any and all personal information, pursuant to Rules 1.8(2) and (5) of the MFDA Rules of Procedure.

DATED: Dec 5, 2016

"Sherri Walsh"

Sherri Walsh

Chair