Order

WHEREAS on October 16, 2018, the Mutual Fund Dealers Association of Canada (the “MFDA”) issued a Notice of Hearing (“Notice of Hearing”) pursuant to sections 20 and 24 of MFDA Bylaw No. 1 in respect of a disciplinary proceeding commenced against Duke Mongare Ongechi (the “Respondent”);

AND WHEREAS the Notice of Hearing was personally served on the Respondent on November 6, 2018;

AND WHEREAS the Respondent has not served or filed a Reply;

AND WHEREAS the first appearance took place on January 8, 2019 via teleconference before one public representative of a Regional Council acting on behalf of a Hearing Panel of the Central Regional Council of the MFDA, pursuant to section 19.13(b) of MFDA Bylaw No. 1;

AND UPON hearing the submissions of the Respondent and counsel for Staff of the MFDA (“Staff”) at the first appearance with respect to various 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. The Respondent shall serve and file a Reply to these proceedings by no later than January 31, 2019;
3. If the Respondent elects not to serve and file a Reply, he shall notify counsel for Staff and the MFDA corporate secretary’s office of same by no later than January 31, 2019;
4. A further appearance in this matter is scheduled to proceed before the Hearing Panel on Tuesday, February 5, 2019 at 9:30 a.m. (Eastern) via teleconference, in order to schedule the Hearing on the Merits and other procedural matters.