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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 FIFTH APPEARANCE HELD ON APRIL 26, 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 Bylaw 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 WHEREAS on April 26, 2021, a fifth 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 fifth appearance with respect to various matters;

IT IS HEREBY ORDERED THAT:

  1. the hearing of this matter on its merits will proceed by way of electronic hearing on July 12-16 and July 19, 2021, commencing at 10:00 a.m. (Atlantic) each day, or as soon thereafter as the matter can be heard.

DATED: Apr 26, 2021

"Thomas J. Lockwood"

Thomas J. Lockwood

Chair


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