Order

WHEREAS on April 15, 2020, the Mutual Fund Dealers Association of Canada (the “MFDA”) issued a Notice of Hearing (“Notice of Hearing”) pursuant to sections 20 and 24 of MFDA Bylaw No. 1 in respect of a disciplinary proceeding commenced against Steven Jules Rethy (the “Respondent”);

AND WHEREAS on May 5, 2020, the Notice of Hearing was served on the Respondent;

AND WHEREAS on June 12, 2020, the Respondent served and filed a Reply;

AND WHEREAS on June 16, 2020, the first appearance was held via teleconference before one public representative of a Regional Council acting on behalf of a Hearing Panel of the Atlantic Regional Council of the MFDA, pursuant to section 19.13(b) of MFDA Bylaw No. 1;

AND UPON hearing the submissions of counsel for the Respondent and counsel for Staff of the MFDA (“Staff”) at the first appearance with respect to various 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 Bylaw 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;
2. Staff shall provide disclosure to the Respondent by August 13, 2020, in accordance with Rule 10.1 of the MFDA Rules of Procedure;
3. the Respondent shall provide disclosure to Staff (if any), in accordance with Rule 10.2 of the MFDA Rules of Procedure by August 27, 2020;
4. Staff shall provide a witness list and willsay statements to the Respondent by September 10, 2020, in accordance with Rule 11 of the MFDA Rules of Procedure;
5. the Respondent shall provide a witness list and willsay statements to Staff by October 1, 2020, in accordance with Rule 11 of the MFDA Rules of Procedure; and
6. the Hearing on the Merits is scheduled to proceed in Halifax, Nova Scotia before the Hearing Panel on October 14-15, 2020 at 10:00 a.m. (Atlantic) each day.