November 8, 2023 (Toronto, Ontario) – The Canadian Investment Regulatory Organization (“CIRO”) commenced disciplinary proceedings in respect of Samantha Cauvier (the “Respondent”) by Notice of Hearing dated June 9, 2023 (the “Notice of Hearing”).
The hearing on the merits in this proceeding will commence at 2:00 p.m. (Eastern) on November 14, 2023, having previously been scheduled for 10:00 a.m. (Eastern) the same day. The appearance will be open to the public, except as may be required for the protection of confidential matters. Members of the public who would like to listen to the teleconference should contact [email protected] to obtain particulars.
A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca. During the period described in the Notice of Hearing, the Respondent carried on business in the Carleton Place, Ontario 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. For more information, visit www.ciro.ca.