Le Lézard
Classified in: Business
Subject: LAW

CIRO schedules appearance in the matter of Ann Reid


TORONTO, Dec. 18, 2023 /CNW/ - The Mutual Fund Dealers Association of Canada (MFDA), now Canadian Investment Regulatory Organization (CIRO), commenced a disciplinary proceeding in respect of Ann Marie Reid by Notice of Hearing dated August 22, 2022 (Notice of Hearing).

An appearance in this proceeding will be held by teleconference on December 20, 2023 at 3:00 p.m. (Eastern Time), or as soon thereafter as the appearance can be held, and 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 at www.mfda.ca. During the period described in the Notice of Hearing, the respondent conducted business in the Mississauga and Toronto, 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.

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.

SOURCE Canadian Investment Regulatory Organization (CIRO)


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