Order

WHEREAS on August 7, 2019, the Mutual Fund Dealers Association of Canada (the “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 Counsel for Staff  of the MFDA (“Staff”) and the Respondent attended the first appearance by teleconference on October 8, 2019, to address scheduling and other procedural matters;

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

IT IS HEREBY ORDERED THAT:

1. The Respondent shall serve and file a Reply to the Notice of Hearing on or before Thursday October 31, 2019; and
2. An interim procedural appearance in this matter shall take place by teleconference on November 4, 2019 at 4:15 p.m. (Eastern), or as soon thereafter as the appearance can be held.