MFDA Order

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File No. 202061

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: Marja Grobbink Harmer

Order

(ARISING FROM FIRST APPEARANCE ON FEBRUARY 26, 2021)

WHEREAS on December 14, 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 Marja Grobbink Harmer (the “Respondent”);

AND WHEREAS on December 22, 2020, the MFDA published on the MFDA public website the Notice of Hearing and a news release advising that the date of the first appearance would be held on February 26, 2021, commencing at 9:00 a.m. (Mountain);

AND WHEREAS on February 26, 2021, 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 February 26, 2021, the Respondent and MFDA Staff made submissions to the Hearing Panel with respect to scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:

  1. MFDA Staff shall provide the Respondent with full disclosure in accordance with Rule 10 of the MFDA Rules of Procedure by no later than April 26, 2021;
  2. The Respondent shall provide the MFDA Staff with full disclosure in accordance with Rule 10 of the MFDA Rules of Procedure by no later than May 26, 2021;
  3. MFDA Staff shall provide the Respondent with witness list and witness will-say statements in accordance with Rule 11 of the MFDA Rules of Procedure by no later than August 12, 2021;
  4. The Respondent shall provide the MFDA Staff with witness list and witness will-say statements in accordance with Rule 11 of the MFDA Rules of Procedure by no later than August 26, 2021;
  5. The next appearance of this matter shall take place by teleconference on August 31, 2021 at 10:00 am (Central); and
  6. The hearing of this matter on its merits shall take place from October 19 to October 22, 2021, commencing each day at 10:00 a.m. (Central), in Regina, Saskatchewan at a venue to be determined.

DATED: Feb 26, 2021

"Sherri Walsh"

Sherri Walsh

Chair


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