Order: In the Matter of Brian Michael Sutton and Investment Industry Regulatory Organization of Canada

Order
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FILE NO.: 2017-37 and 2018-10



IN THE MATTER OF
BRIAN MICHAEL SUTTON

- AND –

IN THE MATTER OF
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA



Timothy Moseley, Vice-Chair and Chair of the Panel

April 2, 2018

ORDER

Sections 8 and 21.7 of the
Securities Act, RSO 1990, c S.5


WHEREAS on March 29, 2018, the Ontario Securities Commission (Commission) held a hearing in writing in relation to an application by Brian Michael Sutton (Sutton) filed on March 5, 2018 to review decisions of the Investment Industry Regulatory Organization of Canada (IIROC) dated July 5, 2017 and January 31, 2018 (the Sutton Application), and in relation to an application filed by IIROC to review a decision January 31, 2018 (the IIROC Application);

ON READING the Sutton Application, the IIROC Application, and the correspondence of Sutton, IIROC, and Staff of the Commission (Staff); including the parties’ consent to hearing the Sutton Application and the IIROC Application together;

IT IS ORDERED THAT:

  1. IIROC and Sutton shall ensure that the record of the original proceeding is filed no later than April 27, 2018;
  2. Sutton shall serve and file submissions on the Sutton Application and IIROC shall serve and file submissions on the IIROC Application no later than May 18, 2018;
  3. Sutton shall serve and file responding submissions on the IIROC Application and IIROC shall serve and file responding submissions on the Sutton Application no later than June 11, 2018;
  4. Staff shall file and serve submissions by June 20, 2018;
  5. The April 5, 2018 hearing date is vacated;
  6. Pursuant to subsection 9.1(1)(b) of the Statutory Powers and Procedure Act, RSO 1990, c S.22, the Sutton Application and the IIROC Application will be heard at the same time; and
  7. The hearing of both applications will be held on June 28, 2018, commencing at 10:00 a.m. or on such other dates or times as may be agreed to by the parties and set by the Office of the Secretary.



" Timothy Moseley "
Timothy Moseley