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File No. 201937

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: Joel Henry Attis

Order

(ARISING FROM FOURTH APPEARANCE ON JANUARY 14, 2021)

WHEREAS on December 18, 2019, the Mutual Fund Dealers Association of Canada (the “MFDA”) issued a Notice of Hearing pursuant to sections 20 and 24 of MFDA By-law No. 1 in respect of a disciplinary proceeding commenced against Joel Henry Attis (the “Respondent”);

AND WHEREAS the Respondent served and filed a Reply;

AND WHEREAS on February 25, 2020, a first appearance was held via teleconference before one public representative of a Regional Council acting on behalf of a Hearing Panel of the Atlantic Regional Council of the MFDA, pursuant to section 19.13(b) of MFDA Bylaw No. 1;

AND WHEREAS on August 20, 2020, a second appearance was held via videoconference before one public representative of a Regional Council acting on behalf of a Hearing Panel of the Atlantic Regional Council of the MFDA;

AND WHEREAS on September 24, 2020, a third appearance was held via videoconference before one public representative of a Regional Council acting on behalf of a Hearing Panel of the Atlantic Regional Council of the MFDA;

AND WHEREAS on January 14, 2021, a fourth appearance was held via videoconference before one public representative of a Regional Council acting on behalf of a Hearing Panel of the Atlantic Regional Council of the MFDA;

AND UPON hearing the submissions of counsel for the Respondent and counsel for Staff of the MFDA (“Staff”) at the fourth appearance with respect to various matters;

IT IS HEREBY ORDERED THAT:

  1. The Hearing on the Merits is scheduled to proceed on April 26-30, 2021, commencing each day at 10:00 a.m. (Atlantic) before the Hearing Panel in person in Moncton, New Brunswick, or if an in person hearing is not possible due to the pandemic, the Hearing on the Merits shall proceed via electronic hearing.

DATED: Jan 14, 2021

"Thomas J. Lockwood"

Thomas J. Lockwood

Chair


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