Order

WHEREAS on February 28, 2017, the Mutual Fund Dealers Association of Canada (the “MFDA”) issued a Notice of Hearing pursuant to section 24.4 of By-law No. 1 in respect of Mahmoud Rihawi (“Rihawi”), Attal Golzay (“Attal”), Ajmal Golzay (“Ajmal”), Roomal Golzay (“Roomal”), Mustafa Sayed Hashimi (“Mustafa”), Sayed Mohammed Zobair Hashimi (“Zobair”), Sama Tabesh (“Tabesh”), Saadet Kolgekaya (“Kolgekaya”), Hammond Lieu (“Lieu”), Rhea Galias Fortes (“Fortes”), Shameel Rawani (“Rawani”), Anjum Pathan (“Pathan”), Mohammad Yunas Masood (“Masood”) and Juliene da Rosa Lima (“Lima”) (collectively referred to as the “Respondents”);

AND WHEREAS the Respondents were served with the Notice of Hearing, or were otherwise provided with notice that the Notice of Hearing had been issued by the MFDA, as appears from the:

1. The affidavit of service of Sofi Vasiliadis sworn June 2, 2017 in respect of her efforts to serve the Notice of Hearing on all Respondents;
2. The affidavit of service of Scott Headrick sworn May 4, 2017 in respect of his service of the Notice of Hearing on Fortes;
3. The affidavits of service of Cameron Gaines sworn May 4, 2017 in respect of his service of the Notice of Hearing on Attal, Ajmal and Roomal;
4. The affidavit of service of Rupert Mathias sworn May 4, 2017 in respect of his service of the Notice of Hearing on Lieu;
5. The affidavits of service of Alex Velimirovic sworn May 4, 2017 in respect of his service of the Notice of Hearing on Rihawi and Rawani; and
6. The affidavit of service of Giuseppe Gatti sworn May 4, 2017 in respect of his service of the Notice of Hearing on Tabesh;

AND WHEREAS Staff attempted to personally serve the Notice of Hearing on Mustafa, Masood, Pathan, Zobair, Lima and Kolgekaya, as appears from:

1. The affidavit of service of Sofi Vasiliadis sworn June 2, 2017;
2. The affidavit of attempted service of Cameron Gaines sworn May 4, 2017 in respect of his attempts to serve the Notice of Hearing on Mustafa;
3. The affidavit of attempted service of Cameron Gaines sworn May 12, 2017 in respect of his attempts to serve the Notice of Hearing on Masood and Pathan;
4. The affidavit of attempted service of Tim Kavanagh sworn May 12, 2017 in respect of his attempts to serve the Notice of Hearing on Zobair; and
5. The affidavit of attempted service of Mark London sworn May 10, 2017 in respect of his attempts to serve the Notice of Hearing on Lima.

AND WHEREAS Staff delivered the Notice of Hearing to Mustafa, Masood, Pathan, Zobair, Lima by: (1) leaving a copy at their last known address as recorded in the MFDA’s records; and/or (2) sending a copy to them by email, as appears from the affidavit of service of Sofi Vasiliadis sworn June 2, 2017;

AND WHEREAS, as appears from the affidavit of service of Sofi Vasiliadis sworn June 2, 2017, Staff spoke to Kolgekaya by telephone on May 5, 2017 and inform her that the Notice of Hearing had been issued and that the first appearance in this matter would be held June 7, 2017 at 9:30 a.m.

AND WHEREAS the Notice of Hearing was posted to the MFDA public website (www.mfda.ca) prior to the commencement of the first appearance;

AND WHEREAS in accordance with s. 19.13 of MFDA By-Law No. 1, the first appearance in this proceeding was held by teleconference before a public representative of the Central Regional Council of the MFDA (the “Chair of the Hearing Panel”) on June 7, 2017;

AND WHEREAS Lima and counsel for Tabesh attended at the first appearance on behalf of Tabesh;

AND WHEREAS none of the other Respondents attended at, or otherwise participated in, the first appearance;

AND WHEREAS during that first appearance Staff and counsel for Tabesh made submissions to the Chair of the Hearing Panel with respect to scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:

1. 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;
2. Staff’s delivery of the Notice of Hearing to Mustafa, Masood, Pathan, Zobair, Lima and Kolgekaya constitutes valid service of the Notice of Hearing on those Respondents, pursuant to Rules 4.2(1) and 4.8 of the MFDA Rules of Procedure; and
3. Subject to any further order of the Hearing Panel, the hearing of this matter on its merits shall take place in the hearing room located at the offices of the MFDA at 121 King Street West, Suite 1000, Toronto, Ontario from February 5 to 9, 2018 at 10:00 a.m. or as soon thereafter as the matter can be heard.