MFDA Order

View and Download English PDF
HomeCurrent Hearings202116 - Wayne Brian Charlton › Order202116

File No. 202116

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: Wayne Brian Charlton

Order

ARISING FROM FIRST APPEARANCE ON JULY 20, 2021

WHEREAS on April 30, 2021 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 Wayne Brian Charlton (the “Respondent”);

AND WHEREAS, in accordance with section 19.13(b) of MFDA By-Law No. 1, the first appearance in this proceeding was held by videoconference on July 20, 2021 before a public representative of a Regional Council acting on behalf of the Central Regional Council of the MFDA (the “Hearing Panel”);

AND WHEREAS Counsel for Staff of the MFDA (“Staff”) and the Respondent attended the first appearance by videoconference on July 20, 2021 and made submissions to the Chair of the Hearing Panel with respect to scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:

  1. In accordance with Rule 8.1 of the MFDA Rules of Procedure, the Respondent shall serve and file a Reply to the Notice of Hearing by August 18, 2021;
  2. In accordance with Rule 10.1 of the MFDA Rules of Procedure, Staff shall provide documentary disclosure to the Respondent by September 10, 2021;
  3. In accordance with Rule 10.2 of the MFDA Rules of Procedure, the Respondent shall provide disclosure to Staff of the documents he intends to rely on at the hearing by October 1, 2021;
  4. In accordance with Rule 11 of the MFDA Rules of Procedure, Staff shall provide the Respondent with a witness list and, for each witness that Staff intends to call at the hearing on the merits, a corresponding transcript, signed witness statement, or summary of the evidence that the witness is expected to give at the hearing by October 15, 2021;
  5. In accordance with Rule 11 of the MFDA Rules of Procedure, the Respondent shall provide Staff with a witness list and summary of their expected evidence at the hearing by October 29, 2021; and
  6. Subject to any further order of the Hearing Panel, the hearing of this matter on its merits shall take place by electronic hearing on November 17-18, 2021, commencing at 10:00 am (Eastern) each day, or as soon thereafter as the matter can be heard.

DATED: Jul 20, 2021

"Frederick W. Chenoweth"

Frederick W. Chenoweth

Chair


832748