MFDA Order

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File No. 2016101

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: Steven Thomas Bott

Order

ARISING FROM FIRST APPEARANCE ON JANUARY 25, 2017

WHEREAS on November 24, 2016, 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 (the “By-law”) in respect of a disciplinary proceeding commenced against Steven Thomas Bott (the “Respondent”);

AND WHEREAS on January 25, 2017, the first appearance in this proceeding was held before a hearing panel of the Central Regional Council of the MFDA (the “Hearing Panel”), pursuant to s. 19.13 of MFDA By-Law No. 1;

AND WHEREAS the Respondent failed to attend the first appearance;

AND WHEREAS Staff of the MFDA made submissions to the Hearing Panel at the first appearance with respect to scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:

  1. the hearing of this matter on its merits shall take place before the Hearing Panel in the hearing room located at 121 King Street West, Suite 1000, Toronto, Ontario on April 5, 2017, commencing at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be heard.

DATED: Jan 25, 2017

"Martin Friedland"

Martin Friedland

Chair


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