Order

WHEREAS on May 3, 2022, 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 in respect of a disciplinary proceeding commenced against Patricia May Sonne (the “Respondent”);

AND WHEREAS on July 21, 2022, the first appearance in this proceeding was held before one public representative of a Regional Council acting as Chair on behalf of a hearing panel of the Central Regional Council of the MFDA (the “Hearing Panel”), pursuant to s. 19.13 of MFDA By-Law No. 1;

AND WHEREAS both Counsel for Staff of the MFDA (“Staff”) and the Respondent attended the first appearance by videoconference on July 21, 2022 to address scheduling and other procedural matters and jointly proposed the following schedule for the continuation of the proceeding;

IT IS HEREBY ORDERED THAT:

1. In accordance with Rule 10.1 of the MFDA Rules of Procedure, Staff shall provide documentary disclosure to the Respondent on or before September 15, 2022;
2. In accordance with Rule 10.2 of the MFDA Rules of Procedure, the Respondent shall provide documentary disclosure to Staff on or before October 14, 2022;
3. Staff shall provide the Respondent with a witness list, and for each witness that Staff intends to call at the hearing on the merits, a corresponding transcript, signed witness statements or a summary of the evidence that the witness is expected to give at the hearing by October 31, 2022 in accordance with Rule 11.1 of the MFDA Rules of Procedure;
4. The Respondent shall provide Staff with a witness list, and for each witness that the Respondent intends to call at the hearing on the merits, a corresponding transcript, signed witness statements or a summary of the evidence that the witness is expected to give at the hearing by November 15, 2022 in accordance with Rule 11.1 of the MFDA Rules of Procedure; and
5. Subject to any further Order of the Hearing Panel, the Hearing on the Merits shall take place by electronic hearing on January 30-31, 2023, commencing at 10:00 a.m. (Eastern) each day, or as soon thereafter as the matter can be heard.