WHEREAS on June 28, 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 Mark Richard Wagner (the “Respondent”);
AND WHEREAS on July 10, 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 10:00 a.m. (Pacific);
AND WHEREAS MFDA Staff served the Respondent by personal service with the Notice of Hearing and a letter notifying the Respondent of the August 28, 2019 first appearance date and time;
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, no one appeared on behalf of the Respondent, and MFDA Staff made submissions to the Hearing Panel with respect to scheduling and other procedural matters;
IT IS HEREBY ORDERED THAT:
- The hearing of this matter on its merits shall take place on November 14, 2019 at 10:00 a.m. (Pacific) in the hearing room at the British Columbia Securities Commission, 701 West Georgia Street, Suite 1200, Vancouver, British Columbia.
Robert G. WardRobert G. WardChair