Order

WHEREAS on August 23, 2021, the Mutual Fund Dealers Association of Canada (the “MFDA”) issued a Notice of Settlement Hearing announcing that a settlement hearing would take place on October 6, 2021 to consider whether, pursuant to section 24.4 of By-law No. 1 of the MFDA, the Hearing Panel should accept a settlement agreement entered into between Staff of the MFDA (“Staff”) and Joshua O’Brien (the “Respondent”) (collectively, the “parties”);

And Whereas prior to the settlement hearing on October 6, 2021, the parties decided that they no longer wished to proceed with the settlement agreement that had been negotiated and the settlement agreement was not filed with the Hearing Panel;

AND WHEREAS the parties did attend an appearance in this proceeding that was held on October 6, 2021 by videoconference before a hearing panel of the Atlantic Regional Council of the MFDA (the “Hearing Panel”) as previously scheduled;

AND WHEREAS during the appearance, Staff and the Respondent informed the Hearing Panel that they would not be presenting a settlement agreement for consideration by the Hearing Panel;

AND WHEREAS Staff informed the Hearing Panel that a Notice of Hearing would be issued in due course to address the allegations of misconduct against the Respondent;

IT IS HEREBY ORDERED THAT:

1. Subject to any further Order of the Hearing Panel, Staff will issue a Notice of Hearing in due course setting out allegations of misconduct against the Respondent and the next appearance in this proceeding will take place by videoconference on December 9, 2021 at 10:00 a.m. (Atlantic), or as soon thereafter as the appearance can be held.