Notice of Hearing

Notice - AIMIA INC. and MITHAQ CANADA INC., File No. 2024-2

Retrieved on: 
Tuesday, February 13, 2024
Tribunal, Notice of Hearing, Application, RSO, National instrument, S.5

TORONTO, Feb. 13, 2024 /CNW/ - On February 13, 2024, the Tribunal issued a Notice of Hearing pursuant to sections 104 and 127 of the Securities Act, RSO 1990, c S.5, to consider the Application filed by Aimia Inc. dated February 13, 2024, requesting an order declaring that Mithaq Canada Inc. breached securities law and directing Mithaq Canada Inc. to comply with National Instrument 62-104 Take Over Bids and Issuer Bids.

Key Points: 
  • TORONTO, Feb. 13, 2024 /CNW/ - On February 13, 2024, the Tribunal issued a Notice of Hearing pursuant to sections 104 and 127 of the Securities Act, RSO 1990, c S.5, to consider the Application filed by Aimia Inc. dated February 13, 2024, requesting an order declaring that Mithaq Canada Inc. breached securities law and directing Mithaq Canada Inc. to comply with National Instrument 62-104 Take Over Bids and Issuer Bids.
  • A preliminary attendance will be held on February 15, 2024 at 9:30 a.m.
    A copy of the Notice of Hearing dated February 13, 2024 and the Application dated February 13, 2024 are available at capitalmarketstribunal.ca

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

Retrieved on: 
Monday, January 15, 2024
Notice, Notice of Hearing, The central science, Investment, CIRO, Respondent, Property management

TORONTO, Jan. 15, 2024 /CNW/ - 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.

Key Points: 
  • TORONTO, Jan. 15, 2024 /CNW/ - 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 of this matter on its merits, previously set for January 16-17, 2024, has been rescheduled to proceed electronically by videoconference before a Hearing Panel of CIRO's Ontario District Hearing Committee on February 21-22, 2024, commencing at 10:00 a.m. (Eastern).
  • The proceeding will be open to the public, except as may be required for the protection of confidential matters.
  • During the period described in the Notice of Hearing, the Respondent carried on business in the Toronto, Ontario area.

CIRO Hearing Panel reschedules penalty hearing date in the matter of Leszek Dziadecki

Retrieved on: 
Friday, January 5, 2024
Mutual Fund Dealers Association, Amend, Sale, CIRO, The central science, Notice, Notice of Hearing, Investment

TORONTO, Jan. 5, 2024 /CNW/ - The Mutual Fund Dealers Association of Canada (MFDA), now Canadian Investment Regulatory Organization (CIRO), commenced a disciplinary proceeding in respect of Leszek Dziadecki by Notice of Hearing dated August 3, 2022, amended December 19, 2022 ( Amended Notice of Hearing).

Key Points: 
  • TORONTO, Jan. 5, 2024 /CNW/ - The Mutual Fund Dealers Association of Canada (MFDA), now Canadian Investment Regulatory Organization (CIRO), commenced a disciplinary proceeding in respect of Leszek Dziadecki by Notice of Hearing dated August 3, 2022, amended December 19, 2022 ( Amended Notice of Hearing).
  • The hearing panel's liability decision is available at:
    During the period described in the Notice of Hearing, Leszek Dziadecki conducted business in the Mississauga, Ontario area.
  • Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1-877-442-4322.
  • 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.

Hearing News Release - CIRO Hearing Panel sets date for continuation of the Hearing on the Merits in the matter of Paul Walker

Retrieved on: 
Friday, December 29, 2023
Mutual Fund Dealers Association, CIRO, IIROC, Notice, The central science, Notice of Hearing, Investment, Hearing, Financial adviser

The hearing of this matter on its merits commenced as scheduled before a Hearing Panel of CIRO's Ontario District Hearing Committee, electronically by videoconference on December 11, 2023, with respect to the allegations of misconduct set out in the Notice of Hearing.

Key Points: 
  • The hearing of this matter on its merits commenced as scheduled before a Hearing Panel of CIRO's Ontario District Hearing Committee, electronically by videoconference on December 11, 2023, with respect to the allegations of misconduct set out in the Notice of Hearing.
  • The hearing of this matter on its merits shall resume electronically by videoconference on January 22, 2024, commencing at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be heard.
  • The proceedings will be open to the public, except as may be required for the protection of confidential matters.
  • 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.

CIRO hearing panel makes findings of misconduct against Adib Khaldi and sets date for hearing on sanctions

Retrieved on: 
Thursday, December 28, 2023
National instrument, Exercise, Amend, Atlantic Ocean, CIRO, Notice, The central science, Respondent, Notice of Hearing, Investment, Rule

The hearing of this matter on its merits was held electronically by videoconference on September 26-27 and December 8, 2023, before a three-member hearing panel of the CIRO Nova Scotia District Hearing Committee.

Key Points: 
  • The hearing of this matter on its merits was held electronically by videoconference on September 26-27 and December 8, 2023, before a three-member hearing panel of the CIRO Nova Scotia District Hearing Committee.
  • After receiving evidence and hearing submissions from CIRO Staff about misconduct, the hearing panel found that the three allegations in the Notice of Hearing had been established.
  • The hearing panel will issue written reasons for their decision on misconduct in due course.
  • During the period described in the Notice of Hearing, Adib Khaldi conducted business in the Dartmouth, Nova Scotia area.

CIRO schedules appearance in the matter of Ann Reid

Retrieved on: 
Monday, December 18, 2023
Investment, Mutual Fund Dealers Association, Eastern Time Zone, CIRO, Notice, Notice of Hearing, The central science

Members of the public who would like to listen to the teleconference should contact [email protected] to obtain particulars.

Key Points: 
  • Members of the public who would like to listen to the teleconference should contact [email protected] to obtain particulars.
  • During the period described in the Notice of Hearing, the respondent conducted business in the Mississauga and Toronto, Ontario area.
  • 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.

CIRO to Hold a Settlement Hearing for Lifan Song

Retrieved on: 
Wednesday, December 13, 2023
The central science, Investment, Notice of Hearing, MB, Settlement, CIRO, Mutual Fund Dealers Association, Merit, Enforcement, Financial adviser, Hearing

WINNIPEG, MB, Dec. 13, 2023 /CNW/ - The Hearing on the Merits previously scheduled for February 6-7, 2023 has been converted to a Settlement Hearing scheduled for February 6, 2023, before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules to consider whether to accept a settlement agreement entered into between Enforcement Staff and Lifan Song.

Key Points: 
  • WINNIPEG, MB, Dec. 13, 2023 /CNW/ - The Hearing on the Merits previously scheduled for February 6-7, 2023 has been converted to a Settlement Hearing scheduled for February 6, 2023, before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules to consider whether to accept a settlement agreement entered into between Enforcement Staff and Lifan Song.
  • 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.ciro.ca .
  • The Notice of Hearing is available at:
    Lifan Song conducted business with Investors Group Financial Services Inc. in the Winnipeg, Manitoba area.

CIRO to Hold Disciplinary Hearing for Susan Armitstead

Retrieved on: 
Tuesday, December 12, 2023
The central science, Investment, AB, Respondent, CIRO, Mutual Fund Dealers Association, Notice of Hearing, Dealer, Financial adviser, Property management, Hearing

ONOWAY, AB, Dec. 12, 2023 /CNW/ - A hearing has been scheduled before a hearing panel of the Alberta District Hearing Committee of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in the matter of Susan Armitstead.

Key Points: 
  • ONOWAY, AB, Dec. 12, 2023 /CNW/ - A hearing has been scheduled before a hearing panel of the Alberta District Hearing Committee of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in the matter of Susan Armitstead.
  • The hearing is open to the public unless the panel orders otherwise.
  • The decision of the hearing panel will be made available at www.mfda.ca .
  • 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.

CIRO to Hold Sanctions Hearing for Leszek Dziadecki

Retrieved on: 
Tuesday, December 12, 2023
Sale, Investment, Mutual Fund Dealers Association, The central science, Notice of Hearing, Respondent, CIRO, Financial adviser, Property management

TORONTO, Dec. 12, 2023 /CNW/ - A sanctions hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in the matter of Leszek Dziadecki.

Key Points: 
  • TORONTO, Dec. 12, 2023 /CNW/ - A sanctions hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in the matter of Leszek Dziadecki.
  • The hearing panel will consider the sanctions to be imposed as a result of its decision dated September 20, 2023, which found that Leszek Dziadecki acted contrary to Mutual Fund Dealer Rules.
  • The hearing panel's liability decision is available at:
    The sanctions hearing is open to the public, unless the hearing panel orders otherwise.
  • During the period described in the Notice of Hearing, the Respondent conducted business in the Mississauga, Ontario area.

CIRO issues Reasons for Decision in the John Moody matter

Retrieved on: 
Tuesday, December 12, 2023
Investment, Hearing, The central science, AB, Notice of Hearing, Respondent, CIRO, Financial adviser

The hearing panel directed the parties to make submissions on costs, which will be determined separately.

Key Points: 
  • The hearing panel directed the parties to make submissions on costs, which will be determined separately.
  • During the period described in the Notice of Hearing, the Respondent conducted business in the Calgary, Alberta area.
  • 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.