Order

WHEREAS on August 30, 2019, the Mutual Fund Dealers Association of Canada (“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 Rui Guo, also known as Ray Guo (the “Respondent”);

AND WHEREAS in accordance with s. 19.13 of MFDA By-law No. 1, on May 28, 2019, the first appearance in this matter was held by teleconference before a public representative of the Central Regional Council of the MFDA (“Hearing Panel”) to schedule a hearing on the merits;

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

IT IS HEREBY ORDERED THAT:

1. If at any time a non-party to this proceeding, with the exception of the bodies set out in section 23 of MFDA By-law No. 1, requests production of or access to exhibits in this proceeding that contain personal information as defined by the MFDA Privacy Policy, then the MFDA Corporate Secretary shall not provide copies of or access to the requested exhibits to the non-party without first redacting from them any and all personal information, pursuant to Rules 1.8(2) and (5) of the MFDA Rules of Procedure; and
2. The Hearing on the Merits will take place on March 10, 2019 at 10:00 am (Eastern), or as soon thereafter as the hearing can be held, in the MFDA hearing room, 121 King Street West, Suite 1000, Toronto, Ontario.