MFDA Order

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File No. 202002

IN THE MATTER OF A DISCIPLINARY HEARING PURSUANT TO SECTIONS 20 AND 24 OF BY-LAW NO. 1 OF THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA

Re: Omar Enrique Rojas Diaz (also known as Omar Rojas)

Order

(ARISING FROM FIRST APPEARANCE ON SEPTEMBER 29, 2020)

WHEREAS on August 5, 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 Omar Enrique Rojas Diaz (the “Respondent”);

AND WHEREAS on August 26, 2020, the Notice of Hearing was served on counsel for the Respondent;

AND WHEREAS on September 28, 2020, the Respondent served and filed a Reply to the Notice of Hearing;

AND WHEREAS on September 29, 2020, a first appearance was held via teleconference before one public representative of a Regional Council acting on behalf of a Hearing Panel of the Central Regional Council of the MFDA, pursuant to section 19.13(b) of MFDA Bylaw No. 1;

AND UPON hearing the submissions of the Respondent (self-represented) 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 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;
  2. the Hearing on the Merits shall proceed by electronic hearing before the Hearing Panel on December 14, 2020, at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be heard;
  3. if the Hearing on the Merits does not proceed on December 14, 2020, the following schedule shall apply:
    1. Staff shall provide disclosure to the Respondent by December 11, 2020, in accordance with Rule 10.1 of the MFDA Rules of Procedure;
    2. the parties (counsel for Staff and the Respondent) shall appear before the Hearing Panel on December 14, 2020, at 10:00 a.m. (Eastern) to address any outstanding procedural matters;
    3. the Respondent shall provide disclosure to Staff (if any), in accordance with Rule 10.2 of the MFDA Rules of Procedure by January 8, 2021;
    4. Staff shall provide a witness list and willsay statements to the Respondent by January 22, 2021, 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 February 5, 2021, in accordance with Rule 11 of the MFDA Rules of Procedure; and
    6. the Hearing on the Merits shall proceed by electronic hearing before the Hearing Panel on February 23, 2021, at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be heard.

DATED: Sep 29, 2020

"Emily Cole"

Emily Cole

Chair


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