File No. 2017111
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: Isaac Muhima
(ARISING FROM APPEARANCE ON JUNE 28, 2018)
WHEREAS on November 6, 2017, the Mutual Fund Dealers Association of Canada (“MFDA”) issued a Notice of Hearing pursuant to section 24.4 of By-law No. 1 in respect of Isaac Muhima (“Respondent”);
AND WHEREAS an appearance in this matter took place on June 28, 2018, with the Respondent attending by teleconference, before one representative of the Regional Council acting on behalf of a Hearing Panel of the Central Regional Council of the MFDA (“Hearing Panel”), pursuant to section 1.3(b) of MFDA Bylaw No. 1;
AND UPON hearing the submissions of the Respondent and counsel for Staff of the MFDA with respect of various procedural matters including the proposed dates for the hearing on the merits;
IT IS HEREBY ORDERED THAT:
- the Respondent shall serve and file his Reply to the Notice of Hearing on or before July 18, 2018, in accordance with Rule 8 of the MFDA Rules of Procedure; and
- the hearing of this matter on its merits shall proceed before the Hearing Panel in the hearing room at the offices of the MFDA, located at 121 King Street West, Suite 1000, Toronto, Ontario on September 27, 2018, commencing at 10 a.m. or soon thereafter as the matter can be heard.
DATED: Jun 28, 2018
"Paul M. Moore"
Paul M. Moore