CIRO Hearing Panel reschedules penalty hearing in the matter of Simon Kelly
June 4, 2023 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”), now Canadian Investment Regulatory Organization (“CIRO”), commenced a disciplinary proceeding in respect of Simon Christopher Kelly (the “Respondent”) by Notice of Hearing dated December 17, 2021 (the “Notice of Hearing”).
The sanctions phase of this proceeding, previously set for June 5, 2023, has been rescheduled to take place electronically by videoconference before CIRO’s Alberta District Hearing Committee on July 19, 2023, commencing at 10:00 a.m. (Mountain). 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 carried on business in the Calgary, Alberta 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.
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