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HomeCurrent Hearings202012 - Rajvir Kaur Hothi › Order202012

File No. 202012

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: Rajvir Kaur Hothi

Order

(ARISING FROM FIRST APPEARANCE ON APRIL 9, 2020)

WHEREAS on February 7, 2020, the Mutual Fund Dealers Association of Canada (the “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 Rajvir Kaur Hothi (the “Respondent”);

AND WHEREAS on March 26, 2020, the MFDA published on the MFDA public website a news release advising that the date of the first appearance would be held on April 9, 2020 commencing at 10:30 a.m. (Mountain);

AND WHEREAS MFDA Staff made attempts to serve the Respondent with the Notice of Hearing and a letter notifying the Respondent of the first appearance date and time, but was unsuccessful in locating the Respondent;

AND WHEREAS MFDA Staff sent the Notice of Hearing and a letter notifying the Respondent of the first appearance date and time to the Respondent’s e-mail address, which documents were downloaded by the Respondent on March 4, 2020;

AND WHEREAS on April 9, 2020, the first appearance in this proceeding was held before one public representative of a Regional Council acting on behalf of a hearing panel of the Prairie Regional Council of the MFDA (the “Hearing Panel”), pursuant to s. 19.13 of MFDA By-Law No. 1, which permits one public representative of a Regional Council to be designated to act on behalf of a Hearing Panel for the purpose of hearing and determining any procedural matter or motion relating to the conduct of a disciplinary hearing including, setting hearing dates, and making any other orders or directions that a Hearing Panel is authorized to make under the MFDA Rules of Procedure, except a final determination of a disciplinary proceeding;

AND WHEREAS at the first appearance on April 9, 2020, no one appeared on behalf of the Respondent, and MFDA Staff made submissions to the Hearing Panel with respect to scheduling and other procedural matters;

AND WHEREAS MFDA Staff requested an Order at the first appearance deeming the manner of service of the Notice of Hearing to be effective on the Respondent, pursuant to Rules 1.5 and 4.2(1)(d) of the MFDA Rules of Procedure;

AND WHEREAS the Hearing Panel is of the opinion that, in the circumstances, it would not be contrary to the public interest to deem the manner of service to be effective on the Respondent;

IT IS HEREBY ORDERED THAT:

  1. The Respondent has been served with the Notice of Hearing and been given notice of the date and time of the first appearance pursuant to Rules 1.5 and 4.2(1)(d) of the MFDA Rules of Procedure;
  2. The Respondent shall serve a Reply on Enforcement Counsel and file a Reply with the Office of the Corporate Secretary by no later than May 8, 2020, in the following manner:
    1. The Reply shall be served upon Enforcement Counsel via mail or e-mail at:
      1. Mutual Fund Dealers Association of Canada
        Suite 850, 800 6th Ave SW
        Calgary, AB T2P 3G3
        Attention: Justin Dunphy
        E-mail: jdunphy@mfda.ca
    2. A Reply shall be filed by:
      1. Providing four copies of the Reply to the Office of the Corporate Secretary by personal delivery, mail or courier to:
        1. The Mutual Fund Dealers Association of Canada
          121 King Street West, Suite 1000
          Toronto, ON M5H 3T9
          Attention: Office of the Corporate Secretary; or

        transmitting one electronic copy of the Reply to the Office of the Corporate Secretary by e-mail at CorporateSecretary@mfda.ca

  3. The next appearance of this matter shall take place before the Hearing Panel by teleconference on May 19, 2020 at 10:30 am (Mountain), or as soon thereafter as the appearance can be held;
  4. MFDA Staff shall serve this Order on the Respondent via e-mail, and upon receiving the same, the Respondent shall have 7 days to file any objection to the orders made in Paragraphs 1 -3, above, by e-mailing Enforcement Counsel at jdunphy@mfda.ca as well as the Hearing Panel, via the Office of the Corporate Secretary, at CorporateSecretary@mfda.ca; and
  5. Upon receipt of any objection made by the Respondent in compliance with Paragraph 4, above, the Hearing Panel may make any such orders or directions as required that a Hearing Panel is authorized to make under the MFDA Rules of Procedure.

DATED: Apr 9, 2020

"Shelley L. Miller"

Shelley L. Miller

Chair


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