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File No. 201790

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: Eileen Marie Desgroseilliers

Order

(ARISING FROM FIRST APPEARANCE ON NOVEMBER 14, 2017)

WHEREAS on September 7, 2017, the Mutual Fund Dealers Association of Canada (“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 Eileen Desgroseilliers (“Respondent”);

AND WHEREAS Staff of the MFDA attempted, without success, to personally serve the Respondent with Staff’s Notice of Hearing, and sent copies by email, to which Staff received no confirmation from the Respondent that the Notice of Hearing had been received;

AND WHEREAS the Respondent attended at the first appearance by teleconference and confirmed that she had received Staff’s email but had not read the attached Notice of Hearing;

AND WHEREAS on November 14, 2017, the first appearance in this proceeding was held before one public representative of a Regional Council acting as Chair on behalf of a hearing panel of the Central Regional Council of the MFDA (“Hearing Panel”), pursuant to s. 19.13 of MFDA By-law No. 1, during which time the hearing on the merits in this matter was scheduled to take place on March 8, 2017 at 10:00 am (Eastern) in the MFDA hearing room located at 121 King Street West, Suite 1000, Toronto, Ontario;

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

IT IS HEREBY ORDERED THAT:

  1. Staff shall serve the Respondent with a copy of the Notice of Hearing by email and registered mail and swear an Affidavit of Service confirming service upon the Respondent;
  2. An additional appearance in this matter shall take place on January 9, 2018, commencing at 9:00 am (Eastern) in the MFDA hearing room located at 121 King Street West, Suite 1000, Toronto, Ontario;
  3. The hearing of this matter on its merits shall take place on March 27 and 28, 2018, commencing each day at 10:00 am (Eastern) in the MFDA hearing room located at 121 King Street West, Suite 1000, Toronto, Ontario.

DATED: Nov 14, 2017

"J. L. McDougall"

J. L. McDougall

Chair


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