WHEREAS on November 11, 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 (the “Notice of Hearing”) in respect of a disciplinary proceeding commenced against TeamMax Investment Corp. (the “Respondent”) which shall take place before a hearing panel of the Central Regional Council (the “Hearing Panel”);
AND WHEREAS an affidavit of service sworn by Terri Ash on December 2, 2021, and filed by Staff, states that on November 29, 2021, the Notice of Hearing was served on the Respondent by couriering a copy to the Respondent’s last known address as recorded in the records of the MFDA with confirmation of delivery;
AND WHEREAS in accordance with s. 19.13 of MFDA By-Law No. 1, the first appearance in this hearing was held by teleconference before a public representative of the Central Regional Council of the MFDA on January 11, 2022;
AND WHEREAS counsel for Staff and the Ultimate Designated Person of the Respondent attended the first appearance by teleconference on January 11, 2022 to address scheduling and other procedural matters;
IT IS HEREBY ORDERED THAT:
- In accordance with Rule 2.2(1)(a) of the MFDA Rules of Procedure, the Respondent’s time to deliver a reply shall be extended to February 1, 2022.
- The next appearance in this proceeding shall take place by videoconference on February 24, 2022, at 10:00 a.m. (Eastern) or as thereafter as the appearance can be held.
Thomas J. LockwoodThomas J. LockwoodChair