Order

WHEREAS on October 1, 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 (the “Notice of Hearing”) in respect of a disciplinary proceeding commenced against Quan Matthew Anh Nguyen (the “Respondent”) which shall take place before a hearing panel of the Central Regional Council (the “Hearing Panel”);

AND WHEREAS an affidavit of service of Carlyle Murray, sworn October 25, 2018, and filed by Staff of the MFDA (“Staff”), states that on October 24, 2018, Mr. Murray left a true copy of the Notice of Hearing with the Respondent’s father, at the Respondent’s last known address as recorded in the MFDA’s records, after the Respondent had advised that a copy should be left at the last known address;

AND WHEREAS an affidavit of service of Prianka Kalraiya, sworn December 10, 2018, and filed by Staff, stated that on October 10, 2018, Ms. Kalraiya sent a true copy of the Notice of Hearing to the Respondent by email;

AND WHEREAS in accordance with s. 19.13 of MFDA By-Law No. 1, the first appearance in this hearing was held by teleconference before a public representative of the Central Regional Council of the MFDA (the “Chair of the Hearing Panel”) on December 11, 2018;

AND WHEREAS the Notice of Hearing was posted to the MFDA public website (www.mfda.ca) prior to the commencement of the first appearance;

AND WHEREAS the Respondent did not attend the first appearance;

AND WHEREAS during that first appearance Staff made submissions to the Chair of the Hearing Panel with respect to scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:

1. Staff’s delivery of the Notice of Hearing to the Respondent by: (1) leaving a copy at his last known address as recorded in the MFDA’s records; and (2) sending a copy to the Respondent by email, constitutes valid service of the Notice of Hearing on the Respondent, pursuant to Rules 4.2(1) and 4.8 of the MFDA Rules of Procedure; and
2. Subject to any further order of the Hearing Panel, the hearing of this matter on its merits shall take place in the hearing room located at the offices of the MFDA at 121 King Street West, Suite 1000, Toronto, Ontario on March 5, 2019, at 10:00 a.m. or as soon thereafter as the matter can be heard.