TORONTO, July 31,
2024 /CNW/ - A hearing has been scheduled before
a hearing panel of the Canadian Investment Regulatory Organization
(CIRO) pursuant to the Investment Dealer and Partially
Consolidated Rules to consider a settlement agreement entered
between Enforcement Staff and Stifel Nicolaus Canada Inc.
The hearing will become open to the public in the event that the
hearing panel accepts the settlement.
If the settlement agreement is accepted, the panel's decision
and the settlement agreement will be made available at
www.ciro.ca.
Settlement Hearing Date: August 14, 2024 at
10:00 am (Eastern Time)
Location: Toronto, Ontario (by videoconference)
Members of the public who would like to obtain further
particulars should fill out this questionnaire.
The Notice of Application announcing the settlement hearing is
available at:
Stifel Nicolaus Canada Inc. - Notice of Application
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.
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 investment firms is available free of charge through
the AdvisorReport service. Information on how to make
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.
SOURCE Canadian Investment Regulatory Organization (CIRO)