Order

WHEREAS on August 7, 2019, the Mutual Fund Dealers Association of Canada (“MFDA”) issued a Notice of Hearing pursuant to sections 20 and 24.4 of By-law No. 1 in respect of a disciplinary proceeding commenced against Jeffrey Thomas Williams (the “Respondent”);

AND WHEREAS the Respondent was served with the Notice of Hearing in accordance with Rules 7.1(2) and 4.2 of the MFDA Rules of Procedure;

AND WHEREAS on October 8, 2019, the first appearance in this proceeding was held by teleconference before a Chair of a hearing panel of the Central Regional Council of the MFDA (the “Hearing Panel”), pursuant to section 19.13(b) of MFDA By-law No. 1;

AND WHEREAS during the first appearance Counsel for Staff of the MFDA (“Staff”) and the Respondent made submissions to the Chair of the Hearing Panel with respect to scheduling and other procedural matters;

AND WHEREAS at the first appearance, the Chair ordered, among other things, that the Respondent shall serve and file a Reply to the Notice of Hearing on or before October 31, 2019;

AND WHEREAS a second appearance in this proceeding took place by teleconference before the Chair of the Hearing Panel on November 4, 2019;

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

AND WHEREAS at the second appearance, the Chair ordered among other things, that the hearing on the merits in this matter shall take place before the Hearing Panel on March 5, 2020 and March 6, 2020, commencing daily at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be heard, in the MFDA hearing room, 121 King Street West, Suite 1000, Toronto, Ontario;

AND WHEREAS a third appearance in this proceeding took place by teleconference before the Chair of the Hearing Panel on November 14, 2019;

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

AND WHEREAS the Respondent has not served or filed a Reply to the Notice of Hearing;

IT IS HEREBY ORDERED THAT:

1. The hearing on the merits in this matter shall take place before the Hearing Panel on March 5, 2020 and March 6, 2020, commencing daily at 10:00 a.m. (Eastern), in the MFDA hearing room, 121 King Street West, Suite 1000, Toronto, Ontario; and
2. The hearing dates in paragraph 1 are peremptory.