CIRO Hearing Panel schedules dates for Hearing on the Merits in the matter of Aziz Khamisa and Antony Chau

Type:
Hearing Notice
Rulebook connection
MFDR

Contact

October 3, 2023 (Toronto, Ontario) – The Canadian Investment Regulatory Organization (“CIRO”) commenced a disciplinary proceeding in respect of Aziz Fatehali Khamisa and Antony Kin San Chau (collectively the “Respondents”) by Notice of Hearing dated July 17, 2023.

The Hearing on the Merits will take place electronically by videoconference before a hearing panel of the Ontario District Hearing Committee of CIRO (the “Hearing Panel”) January 16-17, 2024, commencing at 10:00 a.m. (Eastern) each day, or as soon thereafter as the matter can be held. The proceeding 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 participate should contact [email protected] to obtain particulars.

A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca. During the period described in the Notice of Hearing, the Respondents conducted business in the Toronto, Ontario area.

Canadian Investment Regulatory Organization 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 carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and 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.

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Type:
Hearing Notice
Rulebook connection
MFDR

Contact