MFDA Order

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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 HEARING ON THE MERITS OF JULY 12-16, 2021

WHEREAS on December 18, 2018, 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 Joel Henry Attis (the “Respondent”) which shall take place before a hearing panel of the Atlantic Regional Council (the “Hearing Panel”);

AND WHEREAS Staff of the MFDA (“Staff”) brought a motion dated July 8, 2021 returnable immediately preceding the Hearing on the Merits for an order of the Hearing Panel granting leave to amend the Notice of Hearing in the form attached as Schedule “A” to the Amended Notice of Motion;

AND WHEREAS Staff’s motion for leave to amend was heard by videoconference immediately preceding the Hearing on July 12, 2021;

AND WHEREAS the Hearing on the Merits was held by videoconference between July 12, 2021 and July 16, 2021, during which the Hearing Panel heard the evidence presented by Staff and counsel for the Respondent;

AND WHEREAS the Hearing Panel heard the evidence presented by Staff and counsel for the Respondent, following which the Hearing Panel adjourned the Hearing on the Merits to permit the parties to file written submissions and make oral argument at a later date,

IT IS HEREBY ORDERED THAT:

  1. Leave to amend the Notice of Hearing is granted;
  2. Staff shall serve and file its written submissions on or before August 20, 2021;
  3. The Respondent shall serve and file his responding written submissions on or before September 17, 2021;
  4. Staff shall serve and file its reply written submissions on or before September 30, 2021; and
  5. The hearing of this matter on its merits is adjourned to October 26, 2021 at 10:00 a.m. (Atlantic) by electronic hearing.

DATED: Jul 16, 2021

"Thomas J. Lockwood"

Thomas J. Lockwood

Chair


"Guenther W.K. Kleberg"

Guenther W.K. Kleberg

Industry Representative


"Edward Jackson"

Edward Jackson

Industry Representative


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