File No. 201941
IN THE MATTER OF A DISCIPLINARY HEARING PURSUANT TO SECTIONS 20 AND 24 OF BY-LAW NO. 1 OF THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA
Re: Tamar Michelle Eisenberg
(ARISING FROM FIRST APPEARANCE OF AUGUST 9, 2019)
WHEREAS on June 7, 2019, 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 Tamar Michelle Eisenberg (the “Respondent”);
AND WHEREAS on June 13, 2019, 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 August 9, 2019, commencing at 10:00 a.m. (Mountain);
AND WHEREAS on August 9, 2019, 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 August 9, 2019, the Respondent and MFDA Staff made submissions to the Hearing Panel with respect to scheduling and other procedural matters;
IT IS HEREBY ORDERED THAT:
- MFDA Staff shall provide the Respondent with full disclosure in accordance with Rule 10 of the MFDA Rules of Procedure by no later than August 30, 2019;
- The Respondent shall provide the MFDA Staff with full disclosure in accordance with Rule 10 of the MFDA Rules of Procedure by no later than August 30, 2019; and
- The next appearance of this proceeding shall take place by teleconference on September 16, 2019 at 10:00 a.m. (Mountain), or as soon thereafter as the appearance can be held.
DATED: Aug 9, 2019
"Shelley L. Miller"
Shelley L. Miller