Latest news with #CanadianInvestmentRegulatoryOrganization
Cision Canada
an hour ago
- Business
- Cision Canada
Hearing Notice - CIRO to Hold a Settlement Hearing for Pedro Jose Albornoz Diaz Français
TORONTO, July 31, 2025 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules to consider a settlement agreement entered into between CIRO Enforcement Staff and Pedro Jose Albornoz Diaz. The hearing will become open to the public if the panel accepts the settlement agreement. If the settlement agreement is accepted, the panel's decision and the settlement agreement will be made available at Settlement Hearing Date: August 14, 2025 at 10:00 a.m. (Eastern Standard Time) Location: Toronto, Ontario (by videoconference) Members of the public who would like to obtain further particulars should fill out this form. The Notice of Application announcing the settlement hearing is available at: Diaz, Pedro - Notice of Application At all material times, Pedro Diaz conducted business in Toronto, Ontario as a dealing representative with PFSL Investments Canada Ltd. Pedro Diaz is currently not registered in the securities industry in any capacity. 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 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. SOURCE Canadian Investment Regulatory Organization (CIRO)
Cision Canada
3 hours ago
- Business
- Cision Canada
Hearing Notice - CIRO to Hold a Settlement Hearing for Marcos David Magallanes Conde Français
TORONTO, July 31, 2025 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules to consider a settlement agreement entered into between CIRO Enforcement Staff and Marcos David Magallanes Conde. The hearing will become open to the public if the panel accepts the settlement agreement. If the settlement agreement is accepted, the panel's decision and the settlement agreement will be made available at Settlement Hearing Date: August 14, 2025 at 11:00 a.m. (Eastern Standard Time) Location: Toronto, Ontario (by videoconference) Members of the public who would like to obtain further particulars should fill out this form. The Notice of Application announcing the settlement hearing is available at: Conde, Marcos - Notice of Application At all material times, Marcos Conde conducted business in Toronto, Ontario as a dealing representative with PFSL Investments Canada Ltd. Marcos Conde is currently not registered in the securities industry in any capacity. 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 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. All other Inquiries: Complaints & Inquiries Secure form Toll-free (Canada/US) 1-877-442-4322 SOURCE Canadian Investment Regulatory Organization (CIRO)
Cision Canada
4 hours ago
- Business
- Cision Canada
Canadian Investment Regulatory Organization Trade Resumption - AIME.P Français
VANCOUVER, BC, /CNW/ - Trading resumes in: Company: AIM5 Ventures Inc. TSX-Venture Symbol: AIME.P All Issues: Yes Resumption (ET): 9:30 AM CIRO can make a decision to impose a temporary suspension (halt) of trading in a security of a publicly-listed company. Trading halts are implemented to ensure a fair and orderly market. CIRO is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. SOURCE Canadian Investment Regulatory Organization (CIRO) – Halts/Resumptions For further information about CIRO's trading halt policy, please see Trading Halts & Timely Disclosure at under the Markets tab. Please note that CIRO staff cannot provide any information about a specific halt beyond what is contained in this halt notice. For general information about CIRO, contact CIRO's Complaints & Inquiries team by submitting a Secure Form located on our contact page at or dialing 1-877-442-4322 (Option 1). For company-related enquiries, please contact the company directly.
Cision Canada
a day ago
- Business
- Cision Canada
Decision Notice - CIRO Hearing Panel issues Reasons for Decision in the matter of Ken Kin Kit Lui and Devina Master Français
TORONTO, /CNW/ - Following a disciplinary hearing held on June 11, 2025, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules issued its reasons for decision in the matter of Ken Kin Kit Lui and Devina Master on July 24, 2025. The panel found that: Ken Lui engaged in outside activities that were not disclosed to or approved by the Dealer Member, Ken Lui and Devina Master engaged in personal financial dealings with clients giving rise to conflicts or potential conflicts of interest that they failed to disclose to the Dealer Member or otherwise address by the exercise of responsible business judgment influenced only by the best interests of the clients, and Ken Lui and Devina Master failed to cooperate with an investigation by CIRO Staff into their conduct. The hearing panel imposed the following sanctions on Ken Lui: a permanent prohibition from conducting securities related business while in the employ of or associated with any Dealer Member of CIRO, and a fine of $770,947.17. Ken Lui is also required to pay costs in the amount of $25,000. The hearing panel imposed the following sanctions on Devina Master: a permanent prohibition from conducting securities related business while in the employ of or associated with any Dealer Member of CIRO, and a fine of $150,000. Devina Master is also required to pay costs in the amount of $15,000. The hearing panel's reasons for decision are available at: Re Lui and Master CIRO 36 The violations occurred while Ken Lui and Devina Master were Registered Representatives with the Toronto, Ontario branch of CIBC Securities Inc. Ken Lui and Devina Master are not currently registered in the securities industry in any capacity. 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 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. SOURCE Canadian Investment Regulatory Organization (CIRO)
Cision Canada
a day ago
- Business
- Cision Canada
Canadian Investment Regulatory Organization Trade Resumption - ALAB.P Français
VANCOUVER, BC, /CNW/ - Trading resumes in: Company: A-Labs Capital II Corp.. TSX-Venture Symbol: ALAB.P All Issues: Yes Resumption (ET): 9:30 AM CIRO can make a decision to impose a temporary suspension (halt) of trading in a security of a publicly-listed company. Trading halts are implemented to ensure a fair and orderly market. CIRO is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. SOURCE Canadian Investment Regulatory Organization (CIRO) – Halts/Resumptions For further information about CIRO's trading halt policy, please see Trading Halts & Timely Disclosure at under the Markets tab. Please note that CIRO staff cannot provide any information about a specific halt beyond what is contained in this halt notice. For general information about CIRO, contact CIRO's Complaints & Inquiries team by submitting a Secure Form located on our contact page at or dialing 1-877-442-4322 (Option 1). For company-related enquiries, please contact the company directly.
