WHEREAS on August 3, 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 Yicong (Elson) Qin (the “Respondent”) which shall take place before a hearing panel of the Pacific Regional Council (the “Hearing Panel”);
AND WHEREAS an affidavit of service sworn by Sofi Vasiliadis on September 2, 2021, and filed by Staff, states that on August 23, 2021, the Notice of Hearing was served on the Respondent by email, which was accepted by the Respondent on August 30, 2021;
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 Pacific Regional Council of the MFDA on October 27, 2021;
AND WHEREAS counsel for Staff and the Respondent attended the first appearance by videoconference on October 27, 2021 to address scheduling and other procedural matters;
IT IS HEREBY ORDERED THAT:
- In accordance with Rule 10.1 of the MFDA Rules of Procedure, Staff shall provide documentary disclosure to the Respondent on or before November 26, 2021.
- In accordance with Rule 10.2 of the MFDA Rules of Procedure, the Respondent shall provide documentary disclosure to Staff on or before December 10, 2021.
- In accordance with Rule 11 of the MFDA Rules of Procedure, the parties shall exchange lists of anticipated witnesses, and in respect of each witness named on the list, provide a witness statement signed by the witness, a transcript of a recorded statement by the witness, or a summary of the evidence that the witness is expected to give at the hearing, on or before January 14, 2022.
- The next appearance in this proceeding shall take place by videoconference on February 16, 2021 at 10:00 a.m. (Pacific).
- Subject to any further order of the Hearing Panel, the hearing of this matter on its merits shall take place before a Hearing Panel of the Pacific Regional Council at a venue to be determined in Vancouver, British Columbia on March 7, 2022 to March 9, 2022, commencing each day at 10:00 a.m. (Pacific) or as soon thereafter as the matter can be heard.
Ian H. PitfieldIan H. PitfieldChair