August 17, 2023 (Toronto, Ontario) – The Canadian Investment Regulatory Organization (“CIRO”) commenced a disciplinary proceeding in respect of Samantha Jane Cauvier (the “Respondent”) by Notice of Hearing dated June 9, 2023 (the “Notice of Hearing”).
As previously announced, the first appearance in this proceeding was held on July 17, 2023 by videoconference before a Hearing Panel of the CIRO’s Ontario District Hearing Committee.
Following submissions by the parties, the Hearing on the Merits has been scheduled to take place electronically by videoconference on November 14, 2023, commencing at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be held. The Hearing Panel also scheduled an interim appearance on September 21, 2023, 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 conducted business in the Carleton Place, Ontario area.
Canadian Investment Regulatory Organization 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 carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and 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.