Notice of Hearing: In the Matter of Phoenix Research and Trading Corporation et al.
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, as amended AND THE COMMODITY FUTURES ACT,
R.S.O. 1990, c. C.20, as amended
-AND-
IN THE MATTER OF
PHOENIX RESEARCH AND TRADING CORPORATION,
RONALD MOCK and STEPHEN DUTHIE
NOTICE OF HEARING
(Sections 127 and 127.1 of the Securities Act and
sections 60 and 60.1 of the Commodity Futures Act)
TAKE NOTICE that the Ontario Securities Commission (the "Commission") will hold a hearing pursuant to section 127 of the Securities Act, R.S.O. 1990, c. S.5, as amended (the "Act") and section 60 of the Commodity Futures Act, R.S.O. 1990, c. C.20 at the offices of the Commission, Small Hearing Room, 17th floor, 20 Queen Street West, Toronto, on March 13, 2003, at 10:00 a.m., or as soon thereafter as the hearing can be held;
AND TAKE NOTICE that the purpose of the hearing will be for the Commission to consider whether to approve the proposed settlement of the proceeding entered into between Staff of the Commission and Phoenix Research and Trading Corporation ("Phoenix");
BY REASON OF the allegations set out in the Statement of Allegations of Staff of the Commission dated June 11, 2002 and such additional allegations as counsel may advise and the Commission may permit;
AND TAKE FURTHER NOTICE that any party to the proceeding may be represented by counsel if that party attends or submits evidence at the hearing;
AND TAKE FURTHER NOTICE that upon failure of any party to attend at the hearing, the hearing may proceed in the absence of that party and such party is not entitled to any further notice of the proceeding.
DATED at Toronto this 11th day of March, 2003
AND TAKE NOTICE that the purpose of the hearing will be for the Commission to consider whether to approve the proposed settlement of the proceeding entered into between Staff of the Commission and Phoenix Research and Trading Corporation ("Phoenix");
BY REASON OF the allegations set out in the Statement of Allegations of Staff of the Commission dated June 11, 2002 and such additional allegations as counsel may advise and the Commission may permit;
AND TAKE FURTHER NOTICE that any party to the proceeding may be represented by counsel if that party attends or submits evidence at the hearing;
AND TAKE FURTHER NOTICE that upon failure of any party to attend at the hearing, the hearing may proceed in the absence of that party and such party is not entitled to any further notice of the proceeding.
DATED at Toronto this 11th day of March, 2003
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"John Stevenson"
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| John Stevenson Secretary of the Ontario Securities Commission |