| Canadian Investment Regulatory Organization

MFDA schedule dates for Hearing on the Merits in the matter of Nicholas Rivet

January 11, 2022

MFDA announces disciplinary proceeding in respect of Jingshan (Sarah) He

December 29, 2021

MFDA announces disciplinary proceeding in respect of Sungsoo (Steve) Lee

December 29, 2021

MFDA announces disciplinary proceeding in respect of Zinan Liu

December 29, 2021

MFDA announces disciplinary proceeding in respect of Everest D’Souza

December 20, 2021

MFDA Hearing Panel imposes sanctions in the matter of Guy Dudding

Decision Notice

December 20, 2021

MFDA issues Notice of Settlement Hearing in respect of Jennifer Ajin

December 17, 2021

MFDA schedules date for penalty hearing in the matter of Guy Dudding

December 16, 2021

MFDA schedules next appearance in the matter of Laura Kowall

December 14, 2021

MFDA schedules next appearance in the matter of Robert Watts

December 14, 2021

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