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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: Joseph Terrance Sask

Order

(ARISING FROM APPEARANCE ON JANUARY 7, 2019)

WHEREAS on January 7, 2019, the appearance in this proceeding was held before one public representative of a Regional Council acting on behalf of a hearing panel of the Prairie Regional Council of the MFDA (the “Hearing Panel”), pursuant to s. 19.13 of MFDA By-Law No. 1, which permits one public representative of a Regional Council to be designated to act on behalf of a Hearing Panel for the purpose of hearing and determining any procedural matter or motion relating to the conduct of a disciplinary hearing including, setting hearing dates, and making any other orders or directions that a Hearing Panel is authorized to make under the MFDA Rules of Procedure, except a final determination of a disciplinary proceeding;

AND WHEREAS at the appearance on January 7, 2019, the Respondent and MFDA Staff made submissions to the Hearing Panel with respect to scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:

  1. The hearing of this matter on its merits shall take place from March 26, 2019 to March 28, 2019, commencing each day at 10:00 a.m. (Mountain), at a venue to be determined in Edmonton, Alberta; and
  2. The Respondent shall advise the MFDA Staff by no later than February 7, 2019, if he requires any additional relevant disclosure from the MFDA.
  • Shelley L. Miller
    Shelley L. Miller
    Chair

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