WHEREAS on August 15, 2018, the Mutual Fund Dealers Association of Canada (the “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 Saveth Law (the “Respondent”);
AND WHEREAS on September 4, 2018, the MFDA published on the MFDA public website the Notice of Hearing and a news release advising that the date of the first appearance would be held on October 15, 2018, commencing at 9:30 a.m. (Mountain);
AND WHEREAS on October 15, 2018, 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 Prairie Regional Council of the MFDA (the “Hearing Panel”), pursuant to s. 19.13 of MFDA By-Law No. 1, which permits one public representative of a Regional Council to be designated to act on behalf of a Hearing Panel for the purpose of hearing and determining any procedural matter or motion relating to the conduct of a disciplinary hearing including, setting hearing dates, and making any other orders or directions that a Hearing Panel is authorized to make under the MFDA Rules of Procedure, except a final determination of a disciplinary proceeding;
AND WHEREAS at the first appearance on October 15, 2018, the MFDA Staff made submissions to the Hearing Panel with respect to scheduling and other procedural matters;
IT IS HEREBY ORDERED THAT:
- MFDA Staff shall file and serve their witness list, further evidence, or other materials in accordance with MFDA Rules of Procedure 10 and 11 by no later than January 5, 2019 at 9:30 a.m. (Mountain).
- The Respondent shall file and serve their witness list, further evidence, or other materials in accordance with MFDA Rules of Procedure 10 and 11 by no later than January 5, 2019 at 9:30 a.m. (Mountain).
- The hearing of this matter on its merits shall take place on February 5, 2019, commencing at 9:30 a.m. (Mountain), in the hearing room at the offices of the MFDA, located at 800 – 6th Avenue S.W., Suite 850, Calgary, Alberta.
Shelley L. MillerShelley L. MillerChair