MFDA Order

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File No. 202101

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: Matthew de Haan

Order

(ARISING FROM THE FIRST APPEARANCE ON MARCH 23, 2021)

WHEREAS on January 18, 2021, the Mutual Fund Dealers Association of Canada (the “MFDA”) issued a Notice of Hearing pursuant to sections 20 and 24 of MFDA By-law No. 1 in respect of a disciplinary proceeding commenced against Matthew Elliott de Haan (the “Respondent”) which shall take place before a hearing panel of the Pacific Regional Council of the MFDA (“Hearing Panel”);

AND WHEREAS the Affidavit of Service sworn by Jackie Xue on February 8, 2021, and filed by Staff of the MFDA (“Staff”) states that, on February 3, 2021, she sent a true copy of the Notice of Hearing by email to the Respondent who had consented to service by email;

AND WHEREAS, in accordance with section 19.13(b) of the MFDA By-Law No. 1, the first appearance in this hearing was held by videoconference before a public representative (“Chair of the Hearing Panel”) of the Hearing Panel on March 23, 2021;

AND WHEREAS counsel for Staff and the Respondent himself attended the first appearance by videoconference on March 23, 2021, to address scheduling and other procedural matters and consented to a schedule for continuation of the proceeding;

IT IS HEREBY ORDERED THAT:

  1. In accordance with Rule 10.1 of the MFDA Rules of Procedure, Staff shall provide documentary disclosure to the Respondent on or before May 18, 2021;
  2. In accordance with Rule 10.2 of the MFDA Rules of Procedure, the Respondent shall provide documentary disclosure to Staff on or before June 1, 2021;
  3. The parties shall comply with the requirements of Rule 11 of the MFDA Rules of Procedure by, among other things, exchanging lists of anticipated witnesses and transcripts, signed witness statements or summaries of the anticipated evidence of each witness on or before June 10, 2021;
  4. If either party wishes to bring a motion prior to the commencement of the hearing of this matter on its merits, the moving party may bring a motion in accordance with Rule 6 of the MFDA Rules of Procedure such that the proposed motion can be heard in person, by teleconference, or by videoconference on June 29, 2021, or on an earlier date that may be scheduled prior to the hearing on the merits; and
  5. Subject to any further order of the Hearing Panel, the hearing of this matter on its merits shall take place by electronic hearing on August 9-10, 2021, commencing at 10:00 a.m. (Pacific) each day, or as soon thereafter as the matter can be heard.

DATED: Mar 23, 2021

"Joseph A. Bernardo"

Joseph A. Bernardo

Chair


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