| Regarding | Location | Date of Issue | Document Type |
|---|---|---|---|
|
Au, Carren Kwok Wah
File No. 202326
|
Toronto, ON | October 26, 2023 | News Release (CIRO announces disciplinary proceeding in respect of Carren Au) |
| September 18, 2023 | Notice of Hearing |
We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.
You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.
You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).
We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.
Visit Canadian Investment Regulatory Organization website
