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Classified in: Business
Subject: LAW

Hearing Notice - CIRO Hearing Panel Issues a Decision on Costs in the Matter of Dominic Spooner


VANCOUVER, BC, Dec. 5, 2023 /CNW/ - A hearing panel of the Canadian Investment Regulatory Organization (CIRO) issued a decision on costs in the matter of Dominic Spooner following its Decision on Liability and Penalty, issued on July 23, 2023, available at Re Spooner 2023 CIRO 07.

Based on the parties' joint cost submissions, the hearing panel ordered Dominic Spooner to pay $15,000 in costs, in addition to other penalties imposed in the Decision on Liability and Penalty.

The hearing panel's decision, dated November 21, 2023, is available at:

Re Spooner 2023 CIRO 22

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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