Latest news with #UMIR
Cision Canada
4 hours ago
- Business
- Cision Canada
Decision Notice - CIRO Sanctions Jonathan Thomas Jones Français
VANCOUVER, BC, June 9, 2025 /CNW/ - On May 30, 2025, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) held a hearing pursuant to the Investment Dealer and Partially Consolidated Rules and accepted a settlement agreement, with sanctions, between Enforcement Staff and Jonathan Thomas Jones. Jonathan Jones admitted to trading in a security by means other than the entry of an order on a marketplace. Pursuant to the settlement agreement, Jonathan Jones agreed to pay a fine of $21,000 and costs of $2,000. The Settlement Agreement is available at: The hearing panel's decision will be made available at At all material times, Jonathan Jones conducted business with Haywood Securities Inc. in the Vancouver, British Columbia area. Jonathan Jones is currently registered as a Dealing Representative with Leede Financial 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
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
6 days ago
- Business
- Cision Canada
Decision Notice - CIRO Sanctions Christopher Leslie Meehan Français
VANCOUVER, BC, June 3, 2025 /CNW/ - On April 28, 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 Christopher Leslie Meehan. Christopher Meehan admitted to engaging in securities related business that was not carried on for the account or through the facilities of the Dealer Member by directly or indirectly entering into agreements with Investors to trade crypto assets on their behalf. Pursuant to the settlement agreement, Christopher Meehan agreed to a suspension from conducting securities related business in any capacity while in the employ of or associated with any Dealer Member of CIRO registered as a mutual fund dealer for a period of four months, a fine of $45,000 and costs of $5,000. The hearing panel's decision will be made available at At all material times, Christopher Meehan conducted business in the Abbotsford, British Columbia area with Assante Financial Management Ltd. (Assante). Christopher Meehan continues to be registered as an Approved Person with Assante. 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 [email protected] Toll-free (Canada/US) 1-877-442-4322 SOURCE Canadian Investment Regulatory Organization (CIRO)
Cision Canada
21-05-2025
- Business
- Cision Canada
Hearing Notice - CIRO to Hold an Initial Appearance for Haimeng Wang Français
VANCOUVER, BC, May 21, 2025 /CNW/ - An initial appearance has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules in the matter of Haimeng Wang. The interim appearance is open to the public unless the hearing panel orders otherwise. The date for the disciplinary hearing will be made available at Initial Appearance: July 15, 2025 at 10:00 am (Pacific Time) Location: Vancouver, British Columbia (via videoconference) Members of the public who would like to obtain further particulars should fill out this form. The hearing concerns allegations that Haimeng Wang accessed a client's bank accounts and transferred the client's monies to herself and other individuals, thereby engaging in personal financial dealings with a client; and failed to cooperate with an investigation by CIRO Staff. The Notice of Hearing and Statement of Allegations, which set out the allegations, are available at: Wang, Haimeng – Notice of Hearing and Statement of Allegations At all material times, Haimeng Wang conducted business with TD Investment Services Inc. in the Surrey, British Columbia area. Haimeng Wang 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. SOURCE Canadian Investment Regulatory Organization (CIRO)
Cision Canada
15-05-2025
- Business
- Cision Canada
Decision Notice - CIRO Hearing Panel issues Reasons for Decision in the matter of Kevin Kenneth McKnight Français
, May 15, 2025 /CNW/ - Following a settlement hearing held on April 15, 2025 pursuant to the Mutual Fund Dealer Rules, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) issued its reasons for decision on May 13, 2025. The hearing panel's reasons for decision are available at: Re McKNight 2025 CIRO 23 In their reasons for decision, the hearing panel found that Kevin McKnight failed 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 and confirmed a fine of $20,000 and costs of $3,000 imposed as part of the settlement. At all material times, Kevin McKnight conducted business in the Regina, Saskatchewan area. Kevin McKnight is currently registered in British Columbia, Alberta, Saskatchewan, Manitoba, Ontario and Quebec with Designed Securities Ltd. 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)
