April 14, 2023 (Toronto, Ontario) – The 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 in this proceeding has been scheduled to take place electronically by videoconference on April 19, 2023, commencing at 10:00 a.m. (Eastern). The motion 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 obtain particulars should contact [email protected].
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.