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News release

For further information, please contact:

Stephanie Teodoridis
Senior Public Affairs and Corporate Communications Specialist

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

January 15, 2024 (Toronto, Ontario) – 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. Members of the public who would like to participate 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 Toronto, Ontario area.

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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.

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.

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