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Calgary (Alberta), August 08, 2023 – A hearing has been scheduled before a hearing panel of the Investment Dealer Division of the Canadian Investment Regulatory Organization (CIRO) to consider whether the panel should accept a settlement agreement entered into between Enforcement Staff and Zhiping (Davis) Dai.
The hearing is not open to the public but will become open in the event that the panel accepts the agreement. If the agreement is accepted, the panel’s decision and the settlement agreement will be made available at www.iiroc.ca.
Hearing Date: August 17, 2023 at 10:00 am Mountain Time
Location: Calgary, Alberta (via videoconference)
Members of the public who would like to obtain further particulars should contact [email protected].
The Notice of Application announcing the settlement hearing is available at:
Zhiping Dai – Notice of Application
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All information about disciplinary proceedings relating to current and former member firms and individual registrants is available in the Enforcement section of the IIROC website for investment dealer disciplinary proceedings and the MFDA website for mutual fund dealer disciplinary proceedings.
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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