Order

WHEREAS on January 7, 2021, 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 Kimberley Mary Krahl (the “Respondent”);

AND WHEREAS on January 8, 2021, the Notice of Hearing was served on the Respondent;

AND WHEREAS the Respondent served and filed a Reply dated January 29, 2021;

AND WHEREAS on February 23, 2021, 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 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 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. Staff shall provide disclosure to the Respondent by April 16, 2021, 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 May 14, 2021;
4. Staff shall provide a witness list and willsay statements to the Respondent by June 18, 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 July 9, 2021, in accordance with Rule 11 of the MFDA Rules of Procedure;
6. An appearance is scheduled to proceed by videoconference before the Hearing Panel on June 1, 2021 at 10:00 a.m. (Eastern); and
7. The hearing of this matter on its merits shall take place on August 23-26, 2021, commencing at 10:00 am (Eastern) each day, or as soon thereafter as the hearing can be held, and will proceed by electronic hearing or, subject to a further order of the Hearing Panel, in-person at the offices of the MFDA, 121 King Street West Suite 1000, Toronto, Ontario.