Order

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:

1. Staff shall serve and file written submissions regarding penalty by February 26, 2019;
2. The Respondent shall serve and file written submissions regarding penalty (if any) by March 19, 2019;
3. Staff shall serve and file written reply submissions regarding penalty (if any) by April 2, 2019;
4. 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 23^rd day of January, 2019.