Order: In the Matter of The Mutual Fund Dealers Association and Omar Enrique Rojas Diaz (Also Known As Omar Rojas)

IN THE MATTER OF THE MUTUAL FUND DEALERS ASSOCIATION
AND OMAR ENRIQUE ROJAS DIAZ (ALSO KNOWN AS OMAR ROJAS)

Lawrence P. Haber, Commissioner and Chair of the Panel

File No. 2021-7

April 26, 2021

ORDER

WHEREAS on April 26, 2021, the Ontario Securities Commission held a hearing by teleconference in relation to the application brought by the Mutual Fund Dealers Association (Applicant) to review the decision of the Mutual Fund Dealers Association Central Regional Council dated January 29, 2021 (the Application);

ON READING the Application and hearing the submissions of the representatives of the Applicant, Omar Enrique Rojas Diaz (Respondent), and Staff of the Commission;

IT IS ORDERED THAT:

1. the hearing of the Application is scheduled for August 12, 2021 at 10:00 a.m., by videoconference, or on such other dates or times as may be agreed to by the parties and set by the Office of the Secretary;
2. the parties shall adhere to the following timeline for the delivery of materials for the Application:
   1. the Applicant shall serve and file the record of the original proceeding by 4:30 p.m. on May 3, 2021;
   2. the parties shall give notice of any intention to rely on documents or things not included in the record of the original proceeding by 4:30 p.m. on May 10, 2021;
   3. the parties shall disclose any documents or things not included in the record of the original proceeding that they intend to rely on by 4:30 p.m. on May 17, 2021;
   4. The parties shall serve and file a witness list, and serve a summary of each witness’ anticipated evidence, and indicate any intention to call an expert witness, by 4:30 p.m. on May 25, 2021;
   5. the parties shall give notice of any other interlocutory matter, including motions, by 4:30 p.m. on June 14, 2021;
   6. The Applicant shall serve and file their hearing brief, if any, and written submissions by 4:30 p.m. on June 25, 2021;
   7. The Respondent shall serve and file their hearing brief, if any, and written submissions by 4:30 p.m. on July 23, 2021;
   8. Staff of the Commission shall serve and file their hearing brief, if any, and written submissions by 4:30 p.m. on July 30, 2021; and
   9. The Applicant and the Respondent shall serve and file reply written submissions, if any, by 4:30 p.m. on August 4, 2021; and
3. a further attendance in this proceeding is scheduled for June 21, 2021 at 9:00 a.m., by teleconference, or on such other date and time as may be agreed to by the parties and set by the Office of the Secretary.