Order

WHEREAS on March 24, 2017, the Mutual Fund Dealers Association of Canada (“MFDA”) issued a Notice of Hearing (“NOH”) pursuant to sections 20 and 24 of By-law No. 1 in respect of a disciplinary proceeding commenced against Byron Heinz Daues (“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 (“Hearing Panel”) on May 23, 2017;

AND WHEREAS the Respondent was properly served as it appears from the Affidavit of Service of Nick Doria dated April 22, 2017;

AND WHEREAS Staff of the MFDA attended at the first appearance and the Respondent appeared on his own behalf to make submissions with respect to scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:

1. the Respondent shall file his Reply to Staff’s NOH on or before June 15, 2017;

2. the hearing of this matter on its merits shall proceed on November 14, 2017 at 10:00 a.m. (Eastern), in the hearing room at the offices of the MFDA located at 121 King Street West, Suite 1000, Toronto, Ontario; and

3. 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.