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News release

For further information, please contact:

Stephanie Teodoridis
Senior Public Affairs and Corporate Communications Specialist

Interim appearance scheduled in the matter of Andrew Kazina

Winnipeg (Manitoba), January 15, 2024 – An interim appearance has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in the matter of Andrew Kazina.

The appearance is open to the public, unless the hearing panel orders otherwise.

Appearance Date: January 23, 2024 at 11:30 am (Central Time)

Location: Winnipeg, Manitoba (via videoconference)

Members of the public who would like to obtain further particulars should fill out this questionnaire.

The appearance relates to a disciplinary proceeding initiated against the respondent.

The Notice of Hearing and Statement of Allegations which sets out the allegations is available at:

Kazina, Andrew – Notice of Hearing and Statement of Allegations

The violations occurred while Andrew Kazina conducted business in the Winnipeg, Manitoba 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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