Order

WHEREAS on May 5, 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 David Len Carleton Richard (the “Respondent”);

AND WHEREAS on August 11, 2020, the first appearance in this proceeding was held by videoconference before one public representative of a Regional Council acting on behalf 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 the Respondent did not attend the first appearance and did not serve or file a Reply to the Notice of Hearing;

AND WHEREAS counsel for Staff of the MFDA attended the first appearance by videoconference and made submissions to the Hearing Panel with respect to scheduling and other procedural matters;

AND WHEREAS the Hearing Panel reviewed and considered the affidavit of service of Terri Ash;

IT IS HEREBY ORDERED THAT:

1. The Respondent has been appropriately served with the Notice of Hearing in accordance with Rule 4.2(1)(d) of the MFDA Rules of Procedure;
2. The hearing of this matter on its merits shall take place by electronic hearing on March 16, 2021, commencing at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be heard;
3. Staff shall send notice of the hearing date to the Respondent by email and by registered and regular mail to the addresses to which Staff sent the Notice of Hearing; and
4. 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.