Order

WHEREAS on April 25, 2019, 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 Derek Chapman (the “Respondent”) which shall take place before a hearing panel of the Central Regional Council (the “Hearing Panel”);

AND WHEREAS on June 11, 2019, the first appearance in this proceeding took place by teleconference and after hearing submissions from the Respondent and from counsel for Staff, an order was issued on consent that established a schedule for the continuation of the proceeding, and the Hearing on the Merits in this proceeding was scheduled to proceed on December 17 and December 18, 2019;

AND WHEREAS on November 21, 2019, the Hearing on the Merits, scheduled to proceed on December 17 and December 18, 2019, was rescheduled to take place solely on December 18, 2019;

AND WHEREAS on December 18, 2019, the Hearing Panel adjourned the Hearing on the Merits from December 18, 2019 to April 6, 2020;

AND WHEREAS on April 6, 2020, the Hearing Panel adjourned the Hearing on the Merits from April 6, 2020 to July 14, 2020;

AND WHEREAS on June 18, 2020, the Hearing Panel held a teleconference appearance attended by counsel for Staff and the Respondent;

IT IS HEREBY ORDERED THAT:

1. In accordance with s. 19.9 of MFDA By-law No. 1, a further appearance by teleconference shall be held on August 24, 2020 at 10:00 a.m. (Eastern);
2. In accordance with Rule 2.2(1)(a) of the MFDA Rules of Procedure, the Respondent’s time to provide documentary disclosure to Staff in accordance with Rule 10.2 of the MFDA Rules of Procedure is extended to August 14, 2020;
3. In accordance with Rule 2.2(1)(a) of the MFDA Rules of Procedure, the Respondent’s time to comply with the requirements of Rule 11 of the MFDA Rules of Procedure by, among other things, providing Staff with a list of witnesses that he intends to call, contact information for each witness and transcripts, signed witness statements or summaries of anticipated evidence of each witness, is extended to August 14, 2020;
4. Subject to any further order of the Hearing Panel, the hearing of this matter on its merits will be held September 30 and October 1, 2020, commencing at 10:00 a.m. (Eastern) each day, in the hearing room at the offices of the MFDA, 121 King Street West, Suite 1000, Toronto, Ontario.