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 adjourned the Hearing on the Merits from July 14, 2020 to September 30, 2020;

AND WHEREAS on August 24, 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 September 30, 2020, at 10:00 a.m. (Eastern), or as soon thereafter as the appearance can be held;
2. Subject to any further order of the Hearing Panel, the hearing of this matter on its merits shall take place October 28-29, 2020, commencing at 10:00 a.m. (Eastern), each day, or as soon thereafter as the matter can be heard, in the MFDA hearing room, 121 King Street West, Suite 1000, Toronto, Ontario.