Subject: LAW
CIRO cancels interim appearance scheduled in the matter of Andrew Kazina
WINNIPEG, MB, Jan. 22, 2024 /CNW/ - The Mutual Fund Dealers Association of Canada (MFDA), now Canadian Investment Regulatory Organization (CIRO), commenced a disciplinary proceeding in respect of Andrew Kazina by Notice of Hearing dated June 4, 2020 (Notice of Hearing).
The interim appearance in this proceeding scheduled for January 23, 2024, has been cancelled.
As previously announced, following a disciplinary hearing held on November 14-18, 21, 2022, January 13 and April 3, 2023, in Winnipeg, Manitoba, a hearing panel of the Mutual Fund Dealer Division of CIRO found that the respondent engaged in conduct contrary to the By-laws, Rules and/or Policies.
The hearing panel's reasons for the decision, dated November 15, 2023, are available at:
The violations occurred while Andrew Kazina conducted business in the Winnipeg, Manitoba area.
All information about disciplinary proceedings relating to current and former member firms and individual registrants under the Investment Dealer and Partially Consolidated Rules (for investment dealers), the Mutual Fund Dealer Rules (for mutual fund dealers) and the Universal Market Integrity Rules (UMIR) is available on CIRO's website.
Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by CIRO-regulated investment firms is available free of charge through the AdvisorReport service. Information on how to make dealer, advisor or marketplace-related complaints is available by calling 1-877-442-4322.
CIRO investigates possible misconduct by its member firms and individual registrants. It can bring disciplinary proceedings which may result in sanctions including fines, suspensions, permanent bars, expulsion from membership, or termination of rights and privileges for individuals and firms.
The Canadian Investment Regulatory Organization (CIRO) is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces. CIRO is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians' trust in financial regulation and the people managing their investments. For more information, visit www.ciro.ca.
SOURCE Canadian Investment Regulatory Organization (CIRO)
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