Order

WHEREAS on July 4, 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 Sylvia Suk Fan Wong (the “Respondent”);

AND WHEREAS on July 16, 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 28, 2019, commencing at 10:30 a.m. (Pacific);

AND WHEREAS on August 28, 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 Pacific 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 28, 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:

1. MFDA Staff shall provide the Respondent with full disclosure in accordance with Rule 10 of the MFDA Rules of Procedure by no later than September 16, 2019;
2. 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 September 30, 2019;
3. The next appearance in this proceeding shall take place by teleconference on October 15, 2019 at 10:00 am (Pacific), or as soon thereafter as the appearance can be held.