WHEREAS on May 12, 2014, the Mutual Fund Dealers Association of Canada (“MFDA”) issued a Notice of Hearing pursuant to sections 20 and 24 of MFDA Bylaw No. 1 in respect of a disciplinary proceeding commenced against Michael Andrew Harrigan (“Respondent”);
AND WHEREAS the Respondent served and filed a Reply;
AND WHEREAS a hearing on the merits regarding alleged misconduct by the Respondent was conducted on various dates in 2015 and 2016;
AND WHEREAS the Hearing Panel made findings of misconduct against the Respondent and issued Reasons for Decision regarding misconduct on November 28, 2018;
AND WHEREAS an appearance was conducted on January 23, 2019 by means of a teleconference before the Hearing Panel;
AND WHEREAS the Respondent, acting pro se, and counsel for Staff of the MFDA (“Staff”) each made submissions at the appearance with respect to various matters including a proposed date for a hearing on penalty;
IT IS HEREBY ORDERED THAT:
- Staff shall serve and file written submissions regarding penalty by February 26, 2019;
- The Respondent shall serve and file written submissions regarding penalty (if any) by March 19, 2019;
- Staff shall serve and file written reply submissions regarding penalty (if any) by April 2, 2019;
- The hearing on penalty is scheduled to proceed April 16, 2019 commencing at 10:00 a.m. (Atlantic) or as soon thereafter as possible, in the hearing room at the Nova Scotia Securities Commission at Suite 400, Duke Tower, 5251 Duke Street, Halifax, Nova Scotia.
DATED this 23rd day of January, 2019.
Edward KeyesEdward KeyesChair
Ann C. EtterAnn C. EtterIndustry Representative
Robert MalcolmRobert MalcolmIndustry Representative