New SRO Hearing Panel hears motion in the matter of Antonio Luciano
April 25, 2023 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada, now New Self-Regulatory Organization of Canada (“New SRO”), commenced a disciplinary proceeding in respect of Antonio Luciano (the “Respondent”) by Notice of Hearing dated December 6, 2022 (the “Notice of Hearing”).
A pre-hearing motion was held electronically by videoconference on April 19, 2023 before a Hearing Panel of the New SRO’s Ontario District Hearing Committee.
Following submissions by Staff of New SRO (“Staff”), the Hearing Panel granted Staff’s motion to vary the Order of February 23, 2023. As previously announced, the hearing will take place electronically by videoconference before a Hearing Panel of the New SRO’s Ontario District Hearing Committee on May 19, 2023, commencing at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be heard. 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 observe the electronic hearing should contact hearings@mfda.ca 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 Richmond Hill, Ontario area.
New Self-Regulatory Organization of Canada is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. New SRO 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.newselfregulatoryorganizationofcanada.ca.
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