Order

WHEREAS on August 16, 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 by Staff of the MFDA (“Staff”) against Nand Kishor Singh Gusain (the “Respondent”);

AND WHEREAS in accordance with Rules 7.1(2) and 4.2 of the MFDA Rules of Procedure, the Notice of Hearing was served on the Respondents by courier and e-mail on February 1, 2018;

AND WHEREAS Staff of the MFDA attempted, without success, to:

1. inform the Respondent of the within proceeding against him by sending a copy of the Notice of Hearing to the Respondent’s last known e-mail address, as appears from the affidavit of service of Prianka Kalraiya sworn September 5, 2018;

2. personally serve the Notice of Hearing on the Respondent as appears from the affidavit of attempted service of Isaa Ayyad sworn September 20, 2018;

AND WHEREAS the first appearance in this proceeding took place by teleconference before the Chair of a hearing panel of the Central Regional Council of the MFDA (the “Hearing Panel”) on September 27, 2018 at 9:00 a.m. (Eastern) in accordance with s. 19.13(b) of MFDA By-law No. 1;

AND WHEREAS the Respondent did not attend at the first appearance;

AND WHEREAS Staff 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:

1. In accordance with Rule 4(1)(b) of the MFDA Rules of Procedure, MFDA Staff shall serve the Respondent with the Notice of Hearing and this Order by registered and ordinary mail or by courier with confirmation of delivery to the Respondent’s last known address as recorded in the Corporation’s records or in the records of any securities commission with which the Respondent is or was registered;

2. The Respondent shall serve and file its Reply to the Notice of Hearing on or before Wednesday, October 31, 2018; and

3. The hearing of this matter on its merits shall take place in the hearing room at the offices of the MFDA, located at 121 King Street West, Suite 1000, Toronto, Ontario from Thursday, March 28, 2019, commencing at 1:00 p.m. (Eastern) to Friday, March 29, 2018, commencing at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be heard.