CIRO to Hold Disciplinary Hearing for Joshua Emanuel Mifsud

Type:
Hearing Notice
Rulebook connection
MFDR

Contact

Stephanie Teodoridis
Senior Public Affairs and Corporate Communications Specialist

Toronto (Ontario) - January 4, 2024 – A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in a matter between Enforcement Staff and Joshua Emanuel Mifsud.

The hearing is open to the public, unless the hearing panel orders otherwise. The decision of the hearing panel will be made available at www.ciro.ca.  

Hearing Date: April 23, 2024 at 10 am (Eastern time)

Location: Toronto, Ontario (via videoconference)

Members of the public who would like to obtain further particulars should fill out this questionnaire.

The hearing concerns allegations that Joshua Emanuel Mifsud cut and pasted the signatures of two clients from copies of account forms previously signed by the clients onto four new account forms and submitted the account forms to the Dealer Member for processing, contrary to Mutual Fund Dealer Rule 2.1.1

The Notice of Hearing and Statement of Allegations, which set out the allegations, are available at:

Mifsud, Joshua – Notice of Hearing and Statement of Allegations

During the period described in the Notice of Hearing, Joshua Emanuel Mifsud conducted business in the Halton Hills, 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.

Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by CIRO-regulated firms (Investment Dealer Division) is available free of charge through the AdvisorReport service. Information on how to make investment 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 www.ciro.ca.

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Type:
Hearing Notice
Rulebook connection
MFDR

Contact

Stephanie Teodoridis
Senior Public Affairs and Corporate Communications Specialist