Subject: LAW
CIRO announces disciplinary proceeding in respect of Joshua Emanuel Mifsud
TORONTO, Nov. 7, 2023 /CNW/ - The Canadian Investment Regulatory Organization ("CIRO") has commenced disciplinary proceedings in respect of Joshua Emanuel Mifsud (the "Respondent"). In its Notice of Hearing dated October 4, 2023 (the "Notice of Hearing"), Staff of CIRO alleges that the Respondent engaged in the following violations of the Mutual Fund Dealer Rules:
Allegation: Between September 7, 2021 and September 9, 2021, the Respondent cut and pasted the signatures of two clients from copies of account forms previously signed by the clients onto four new account forms and submitted the account forms to the Dealer Member for processing, contrary to Mutual Fund Dealer Rule 2.1.1 (formerly MFDA Rule 2.1.1).1
The first appearance in this proceeding will take place by teleconference before a Hearing Panel of CIRO's Ontario District Hearing Committee on December 7, 2023 at 10:00 a.m. (Eastern), or as soon thereafter as the appearance can be held, to schedule a date for the commencement of the hearing on the merits and to address any other procedural issues.
The appearance will be open to the public, except as may be required for the protection of confidential matters. Members of the public who would like to listen to the teleconference should contact [email protected] to obtain particulars.
A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca. During the period described in the Notice of Hearing, the Respondent conducted business in the Halton Hills, Ontario area.
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.
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1 | Staff alleges that, at the time of the misconduct, the Respondent contravened MFDA Rule 2.1.1, which is now incorporated into Mutual Fund Dealer Rule 2.1.1 referred to in this proceeding. |
SOURCE Canadian Investment Regulatory Organization (CIRO)
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