Subject: LAW
Decision Notice - Capital Markets Tribunal dismisses application for review in the matter of Amin Mohammad Ali
TORONTO, Jan. 22, 2024 /CNW/ - A hearing panel of the Canadian Investment Regulatory Organization (CIRO), issued its Reasons for Decision dated March 10, 2023, in connection with a disciplinary hearing held electronically by videoconference in Toronto, Ontario on February 8, 10-11, 2022, July 20, 2022 and September 20, 2022, in the matter of Amin Mohammad Ali.
On March 14, 2022, Amin Mohammad Ali applied to the Ontario Securities Commission for a Hearing and Review of the hearing panel's decision on misconduct, pursuant to section 21.7 of the Securities Act (the Act)1.
On December 22, 2023, the Capital Markets Tribunal issued its Reasons and Decision, dismissing Amin Mohammad Ali's application.
A copy of the Reasons and Decision is available: Reasons and Decision: In the Matter of Amin Mohammed Ali
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.
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.
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1 | RSO 1990, C.S 5. |
SOURCE Canadian Investment Regulatory Organization (CIRO)
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