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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: Hope Moira Donna Thomas

Order

(ARISING FROM AN INTERIM APPEARANCE ON JUNE 14, 2022)

WHEREAS on January 27, 2022, the MFDA published on the MFDA public website a news release advising that the first appearance would be held on April 22, 2022, commencing at 10:00 a.m. (Pacific);

AND WHEREAS on April 22, 2022, the first appearance in this proceeding was held by videoconference before one public representative of a Regional Council acting on behalf of a hearing panel of the Pacific Regional Council of the MFDA (the “Hearing Panel”), pursuant to section 19.13(b) of MFDA By-law No. 1;

AND WHEREAS the Respondent did not attend the first appearance on April 22, 2022 and did not serve or file a Reply to the Notice of Hearing, although properly served with the Notice of Hearing and notified of the purpose, timing, and location of the first appearance by Staff;

AND WHEREAS counsel for Staff of the MFDA attended the first appearance on April 22, 2022 by videoconference and made submissions to the Hearing Panel with respect to scheduling and other procedural matters;

AND WHEREAS at the first appearance on April 22, 2022, the Hearing Panel reviewed and considered (i) the Affidavit of Service of Ken Haynes of Lormit Personal Services, sworn January 24, 2022, and (ii) the oral submissions of counsel for Staff of the MFDA;

AND WHEREAS at the first appearance on April 22, 2022, the Hearing Panel scheduled (i) a second appearance for June 14, 2022, and (ii) the hearing of this matter on its merits for October 18, 2022;

AND WHEREAS on June 14, 2022, the second appearance in this proceeding was held by videoconference before one public representative of a Regional Council acting on behalf of a hearing panel of the Pacific Regional Council of the MFDA (the “Hearing Panel”), pursuant to section 19.13(b) of MFDA By-law No. 1;

AND WHEREAS the Respondent did not attend the second appearance on June 14, 2022;

AND WHEREAS counsel for Staff of the MFDA attended the first appearance on June 14, 2022 by videoconference and made submissions to the Hearing Panel with respect to scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:

  1. The MFDA shall disclose to the Respondent all relevant information in its possession, provided that:
    1. the Respondent contacts the MFDA to explicitly request disclosure;
    2. she provides an address for the delivery of disclosure materials; and
    3. the MFDA is satisfied that delivery to such address will not jeopardize the confidentiality of any client information;
  2. Subject to any further order of the Hearing Panel, the hearing of this matter on its merits shall take place by videoconference on October 18, 2022, commencing at 10:00 a.m. (Pacific) or as soon thereafter as the matter can be heard.
  • Michael Carroll
    Michael Carroll
    Chair