New SRO reschedules first appearance in the matter of Baljit Rana
April 14, 2023 (Toronto, Ontario) – The New Self-Regulatory Organization of Canada (“New SRO”), commenced a disciplinary proceeding in respect of Baljit Bassi Rana (the “Respondent”) by Notice of Hearing dated March 20, 2023 (the “Notice of Hearing”).
The first appearance in this proceeding, originally scheduled to take place on April 18, 2023, will now be held before a Hearing Panel of the New SRO’s Pacific District Hearing Committee by teleconference on May 25, 2023 at 10:00 a.m. (Pacific). The appearance 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 listen to the teleconference 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 Golden, British Columbia 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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