Order

WHEREAS on October 20, 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 James Michael Lewis (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 10, 2021, and filed by Staff, states that on October 26, 2021, the Notice of Hearing was served on the Respondent by emailing a copy to the Respondent’s counsel, which was accepted for service by the Respondent’s counsel on October 28, 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 Central Regional Council of the MFDA on October 6, 2021;

AND WHEREAS counsel for Staff and counsel for the Respondent attended the first appearance by teleconference on December 14, 2021 to address scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:

1. 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 January 28, 2022;
2. In accordance with Rule 10.1 of the MFDA Rules of Procedure, Staff shall provide documentary disclosure to the Respondent on or before March 11, 2022;
3. In accordance with Rule 10.2 of the MFDA Rules of Procedure, the Respondent shall provide documentary disclosure to Staff on or before April 8, 2022;
4. 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 May 6, 2022; and
5. Subject to any further order of the Hearing Panel, the hearing of this matter on its merits shall take place electronically by videoconference on June 7^–8, 2022, commencing at 10:00 a.m. (Eastern) each day, or as soon thereafter as the matter can be heard.