Enforcement

CIRO to Hold a Settlement Hearing for Sean Joseph Howes

Retrieved on: 
火曜日, 4月 30, 2024
CIRO, NS, Investment, Hearing, Enforcement, The central science

HALIFAX, NS, April 30, 2024 A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Sean Joseph Howes.

Key Points: 
  • HALIFAX, NS, April 30, 2024 A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Sean Joseph Howes.
  • The hearing will become open to the public in the event that the panel accepts the settlement agreement.
  • If the settlement agreement is accepted, the panel's decision and the settlement agreement will be made available at www.ciro.ca .
  • The Notice of Application announcing the settlement hearing is available at:
    At all material times, Sean Howes conducted business in the Halifax, Nova Scotia area.

ACAMS Assembly APAC to Highlight the Evolution of Anti-Financial Crime Measures in the Asia-Pacific Region

Retrieved on: 
水曜日, 4月 17, 2024
Assembly, AFC, Treasury, Financial Action Task Force, ACAMS, AML, FATF, Enforcement, Travel, Cryptocurrency

The Assembly APAC 2024 will offer attendees expert guidance and practical insights, addressing how the region’s AFC professionals can prepare for the latest regulations and meet compliance expectations.

Key Points: 
  • The Assembly APAC 2024 will offer attendees expert guidance and practical insights, addressing how the region’s AFC professionals can prepare for the latest regulations and meet compliance expectations.
  • The Assembly APAC 2024 will feature a session wherein regulators will share their views on current developments in the region.
  • "The Assembly APAC will offer invaluable insights essential for compliance professionals grappling with growing regulatory requirements and emerging illicit-finance threats that continue to reshape how AFC compliance is conducted," said ACAMS CEO, Neil Sternthal.
  • For more information on The Assembly APAC 2024, including access to the agenda and registration portal, please visit: https://www.acams.org/en/events/the-assembly/the-assembly-apac .

ACAMS Assembly APAC to Highlight the Evolution of Anti-Financial Crime Measures in the Asia-Pacific Region

Retrieved on: 
水曜日, 4月 17, 2024
Assembly, AFC, Treasury, Financial Action Task Force, ACAMS, AML, FATF, Enforcement, Travel, Cryptocurrency

The Assembly APAC 2024 will offer attendees expert guidance and practical insights, addressing how the region’s AFC professionals can prepare for the latest regulations and meet compliance expectations.

Key Points: 
  • The Assembly APAC 2024 will offer attendees expert guidance and practical insights, addressing how the region’s AFC professionals can prepare for the latest regulations and meet compliance expectations.
  • The Assembly APAC 2024 will feature a session wherein regulators will share their views on current developments in the region.
  • "The Assembly APAC will offer invaluable insights essential for compliance professionals grappling with growing regulatory requirements and emerging illicit-finance threats that continue to reshape how AFC compliance is conducted," said ACAMS CEO, Neil Sternthal.
  • For more information on The Assembly APAC 2024, including access to the agenda and registration portal, please visit https://www.acams.org/en/events/the-assembly/the-assembly-apac .

Hearing Notice - CIRO to Hold a Settlement Hearing for Gregory Rice

Retrieved on: 
月曜日, 4月 22, 2024
CIRO, Settlement, NS, Investment, Hearing, Enforcement, The central science

HALIFAX, NS, April 22, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Gregory Rice.

Key Points: 
  • HALIFAX, NS, April 22, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Gregory Rice.
  • The hearing will become open to the public in the event that the panel accepts the settlement agreement.
  • If the settlement agreement is accepted, the panel's decision and the settlement agreement will be made available at www.ciro.ca .
  • The Notice of Settlement Hearing announcing the settlement hearing is available at:
    At all material times, Gregory Rice conducted business in Berwick, Nova Scotia.

Hearing Notice - CIRO to Hold a Settlement Hearing for Natalie Kiryak

Retrieved on: 
水曜日, 4月 17, 2024
CIRO, Settlement, NS, Hearing, Enforcement, The central science, Investment, Financial adviser

HALIFAX, NS, April 17, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Funds Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Natalie Kiryak.

Key Points: 
  • HALIFAX, NS, April 17, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Funds Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Natalie Kiryak.
  • The hearing will become open to the public if the panel accepts the settlement agreement.
  • If the settlement agreement is accepted, the panel's decision and the settlement agreement will be made available at www.ciro.ca .
  • The Notice of Settlement Hearing announcing the settlement hearing is available at:
    At all material times, Natalie Kiryak conducted business in the Dartmouth, Nova Scotia area.

CIRO to Hold a Settlement Hearing for Neelgiri Chatterjee

Retrieved on: 
水曜日, 4月 17, 2024
CIRO, NS, Investment, Hearing, Enforcement, The central science

HALIFAX, NS, April 17, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Funds Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Neelgiri Chatterjee.

Key Points: 
  • HALIFAX, NS, April 17, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Funds Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Neelgiri Chatterjee.
  • The hearing will become open to the public in the event that the panel accepts the settlement agreement.
  • If the settlement agreement is accepted, the panel's decision and the settlement agreement will be made available at www.ciro.ca .
  • The Notice of Application announcing the settlement hearing is available at:
    At all material times, Neelgiri Chatterjee conducted business in the Halifax, Nova Scotia area.

Decision Notice - CIRO Sanctions Martin David Hall

Retrieved on: 
水曜日, 4月 10, 2024
CIRO, Settlement, Investment, Enforcement, The central science, NB, Financial adviser

FREDERICTON, NB, April 10, 2024 /CNW/ - On March 6, 2024, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules accepted a settlement agreement, with sanctions, between Enforcement Staff and Martin David Hall.

Key Points: 
  • FREDERICTON, NB, April 10, 2024 /CNW/ - On March 6, 2024, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules accepted a settlement agreement, with sanctions, between Enforcement Staff and Martin David Hall.
  • Pursuant to the settlement agreement, Martin Hall agreed to a fine of $17,500 and costs of $2,500.
  • Martin David Hall is not currently a registrant with a CIRO regulated firm.
  • 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.

ICO statement on Upper Tribunal ruling

Retrieved on: 
木曜日, 4月 25, 2024
ICO, Judgement, Marketing, Enforcement, Cras, Tribunal

The Upper Tribunal has ruled on our action to require Experian Limited to change how it handles people’s personal data, dismissing our appeal of the First-tier Tribunal’s ruling of 20 February 2023.

Key Points: 
  • The Upper Tribunal has ruled on our action to require Experian Limited to change how it handles people’s personal data, dismissing our appeal of the First-tier Tribunal’s ruling of 20 February 2023.
  • The First-Tier Tribunal (Information Rights) has previously ruled on our action to require Experian Limited to change how it handles people’s personal data.
  • Stephen Bonner, ICO Deputy Commissioner, says:
    “The credit reference agency industry holds data on almost every adult in the UK.
  • “The ICO will take stock of today’s judgment and carefully consider our next steps, including whether to appeal."

Decision Notice - CIRO Sanctions Yujie (Jared) Liu and BMO Nesbitt Burns Inc.

Retrieved on: 
金曜日, 4月 5, 2024
BMO, Conduct, Settlement, Enforcement, Investment, The central science, CIRO, Registered representative (securities), Financial adviser

Yujie (Jared) Liu admitted that he failed to use due diligence to determine the suitability of an investment strategy used in certain client accounts.

Key Points: 
  • Yujie (Jared) Liu admitted that he failed to use due diligence to determine the suitability of an investment strategy used in certain client accounts.
  • Yujie (Jared) Liu also agreed to pay costs in the amount of $5,000.
  • The Settlement Agreement is available at:
    Yujie (Jared) Liu and BMO Nesbitt Burns Inc. – Settlement Agreement
    BMO NBI is a CIRO-regulated Dealer Member.
  • Yujie (Jared) Liu was a Registered Representative with BMO NBI from September 2006 until approximately July 2021.

CFP Board Imposes Public Sanctions on Nine Additional Individuals

Retrieved on: 
金曜日, 4月 5, 2024
Other Professional Services, Personal Finance, Finance, Asset Management, Consulting, Accounting, Professional Services, Business, Failure, General ledger, NAC, Counsel, Professional services, FINRA, Consent decree, Consent, Employment, Form, Seriousness, Enforcement, Censure, Calendar, Social Security, Documentation, Letter, District court, Code, Commission, Administration, Ethics commission, Associate, DEC, Motion, Complaint, Social, CFP, AWC, Financial Industry Regulatory Authority, Financial adviser

Robert P. Baffa Jr., CFP® (Las Vegas, Nevada): In January 2024, the Disciplinary and Ethics Commission (Commission) issued an order in which Mr. Baffa received a Public Censure.

Key Points: 
  • Robert P. Baffa Jr., CFP® (Las Vegas, Nevada): In January 2024, the Disciplinary and Ethics Commission (Commission) issued an order in which Mr. Baffa received a Public Censure.
  • Pursuant to his Consent Order with CFP Board, the Commission issued Mr. Ercole an Order of Public Censure.
  • Pursuant to this Consent Order with CFP Board, the Commission issued Ms. Hayut a Suspension of One Year and One Day.
  • This sanction followed the expiration of Mr. Kirkpatrick’s CFP® certification and his failure to file an Answer to CFP Board Enforcement Counsel’s Complaint within the required time frame.