WHEREAS on September 22, 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 Anthony Peter Chiaravalloti (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 October 14, 2021, and filed by Staff, states that on October 6, 2021, Ms. Ash served a copy of the Notice of Hearing on the Respondent by email, which the Respondent accepted on October 12, 2021;
AND WHEREAS in accordance with s. 19.13 of MFDA By-Law No. 1, the first appearance in this hearing was held by videoconference before a public representative of the Central Regional Council of the MFDA (the “Chair of the Hearing Panel”) on November 19, 2021;
AND WHEREAS counsel for Staff and counsel for the Respondent attended the first appearance by videoconference and made submissions to the Chair of the Hearing Panel concerning 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 February 4, 2022.
- In accordance with Rule 10.2 of the MFDA Rules of Procedure, the Respondent shall provide documentary disclosure to Staff on or before March 4, 2022.
- 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 April 1, 2022.
- Subject to any further order of the Hearing Panel, February 15, 2022 is reserved for any pre-hearing motions either Staff or the Respondent may wish to have heard.
- Subject to any further order of the Hearing Panel, the hearing of this matter on its merits shall take place by electronic hearing on May 17 to 18, 2022, commencing at 10:00 a.m. (Eastern), each day, or as soon thereafter as the matter can be held.
Robert P. ArmstrongRobert P. ArmstrongChair