WHEREAS on October 4, 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 Jeremy William Travis (“Respondent”);
AND WHEREAS on December 12, 2017, the first appearance in this proceeding was held before one public representative of a Regional Council acting 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;
AND WHEREAS at the first appearance, the Respondent and MFDA Staff made submissions to the Hearing Panel with respect to scheduling and other procedural matters;
IT IS HEREBY ORDERED THAT:
- The Respondent must serve and file his Reply by December 28, 2017;
- MFDA Staff must provide disclosure to the Respondent by February 14, 2018; and
- The hearing of this matter on its merits shall take place March 14-15, 2018, commencing at 10:00 a.m. (Eastern) each day, in the hearing room at the offices of the MFDA, located at 121 King Street West, Suite 1000, Toronto, Ontario.
Frederick W. ChenowethFrederick W. ChenowethChair