Subject: LAW
Decision Notice - CIRO Hearing Panel issues Reasons for Decision in the matter of Roxanne Marie Carter
TORONTO, Jan. 31, 2024 /CNW/ - Following a settlement hearing held on June 27, 2023, in Toronto, Ontario, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules accepted the settlement agreement dated May 12, 2023 between CIRO's Enforcement Staff and Roxanne Marie Carter.
The hearing panel's reasons for decision, dated January 15, 2024 are available at:
In its reasons for decision, the Hearing Panel confirmed the sanctions imposed on Roxanne Carter:
- a fine in the amount of $10,000.00; and
- costs in the amount of $5,000.00.
During the period described in the Notice of Hearing, Roxanne Marie Carter conducted business in the London, Ontario 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 investment 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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