WHEREAS on August 15, 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 Romina Romano (“Respondent”);
AND WHEREAS the Notice of Hearing was served on the Respondent by email on September 21, 2017;
AND WHEREAS the first appearance in this proceeding took place by teleconference before the Chair of a hearing panel of the Pacific Regional Council of the MFDA (the “Hearing Panel”) on October 11, 2017 at 10:00 a.m. (Pacific) in accordance with s. 19.13(b) of MFDA By-law No. 1;
AND WHEREAS counsel for Staff of the MFDA (“Staff”) and the Respondent agreed on a schedule prior to the first appearance and made submissions to the Chair of the Hearing Panel at the first appearance with respect to scheduling and other procedural matters;
IT IS HEREBY ORDERED THAT:
- Subject to any further order of the Hearing Panel, the hearing of this matter on its merits shall take place before the Hearing Panel in Vancouver, British Columbia, at a venue to be determined, commencing on November 22, 2017 at 10:00 am (Pacific), or as soon thereafter as the matter can be heard.
Robert G. WardRobert G. WardChair