Latest news with #MutualFundDealerRules
Cision Canada
a day ago
- Business
- Cision Canada
Decision Notice - CIRO Sanctions Jagdish Chandane Français
TORONTO, June 6, 2025 /CNW/ - On May 22, 2025, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) held a hearing pursuant to the Mutual Fund Dealer Rules and accepted a settlement agreement, with sanctions, between Enforcement Staff and Jagdish Chandane. Jagdish Chandane admitted to failing in his obligations regarding the proper execution of client account documents, resulting in the collection, possession, and use of pre-signed and altered client account forms. Pursuant to the settlement agreement, Jagdish Chandane agreed to a fine of $15,000 and costs of $2,500. The Settlement Agreement is available at: Chandane, Jagdish – Settlement Agreement The hearing panel's decision will be made available at At all material times, Jagdish Chandane conducted business with Investia Financial Services Inc. in the Oakville, Ontario area. Jagdish Chandane is currently active in the industry as a dealing representative with Investia Financial Services Inc. 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 days ago
- Business
- Cision Canada
Hearing Notice - CIRO to Hold a Settlement Hearing for Hongjia Liu
VANCOUVER, BC, June 5, 2025 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Investment Dealer and Partially Consolidated Rules to consider a settlement agreement between CIRO Enforcement Staff and Hongjia Liu. 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: June 18, 2025 at 10:00 a.m. (Pacific Time) Location: Vancouver, British Columbia (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: Liu, Hongjia - Notice of Application At all material times, Hongjia Liu conducted business in the Vancouver, British Columbia area as a registered representative with RBC Dominion Securities Inc. Hongjia Liu is currently not registered in the securities industry in any capacity. 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 SOURCE Canadian Investment Regulatory Organization (CIRO)
Yahoo
3 days ago
- Business
- Yahoo
Hearing Notice - CIRO to Hold a Settlement Hearing for Hongjia Liu
VANCOUVER, BC, June 5, 2025 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Investment Dealer and Partially Consolidated Rules to consider a settlement agreement between CIRO Enforcement Staff and Hongjia Liu. 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: June 18, 2025 at 10:00 a.m. (Pacific Time) Location: Vancouver, British Columbia (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: Liu, Hongjia - Notice of Application At all material times, Hongjia Liu conducted business in the Vancouver, British Columbia area as a registered representative with RBC Dominion Securities Inc. Hongjia Liu is currently not registered in the securities industry in any capacity. 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 SOURCE Canadian Investment Regulatory Organization (CIRO) View original content to download multimedia: Error in retrieving data Sign in to access your portfolio Error in retrieving data Error in retrieving data Error in retrieving data Error in retrieving data
Malaysian Reserve
4 days ago
- Business
- Malaysian Reserve
CIRO to Hold a Settlement Hearing for Jeremy Liam Short
WINNIPEG, MB, June 4, 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 between CIRO Enforcement Staff and Jeremy Liam Short. 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: June 12, 2025 at 10:00 am (Central Standard Time) Location: Winnipeg, Manitoba (by videoconference) Members of the public who would like to obtain further particulars should fill out this form. The Notice of Hearing is available at: Short, Jeremy – Notice of Hearing At all material times, Jeremy Short conducted business in the Winnipeg, Manitoba area as a dealing representative with Investors Group Financial Services Inc. Jeremy Short is 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. All other Inquiries: Complaints & Inquiries Secure form Email to info@ Toll-free (Canada/US) 1-877-442-4322
Cision Canada
4 days ago
- Business
- Cision Canada
Hearing Notice - CIRO to Hold a Settlement Hearing for Jeremy Liam Short Français
WINNIPEG, MB, June 4, 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 between CIRO Enforcement Staff and Jeremy Liam Short. 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: June 12, 2025 at 10:00 am (Central Standard Time) Location: Winnipeg, Manitoba (by videoconference) Members of the public who would like to obtain further particulars should fill out this form. The Notice of Hearing is available at: Short, Jeremy - Notice of Hearing At all material times, Jeremy Short conducted business in the Winnipeg, Manitoba area as a dealing representative with Investors Group Financial Services Inc. Jeremy Short is 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.
