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:
- 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.
Robert P. ArmstrongRobert P. ArmstrongChair