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For further information, please contact:

Joanna Nicholson
Manager, Public Affairs

CIRO announces settlement hearing to take place in the matter of Samantha Cauvier

Toronto (Ontario), December 8, 2023 – A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules to consider whether the panel should accept a settlement agreement entered into between Enforcement Staff  and Samantha Cauvier.

The hearing is not open to the public, but will become open in the event that the panel accepts the agreement. If the agreement is accepted, the panel’s decision and the settlement agreement will be made available at www.ciro.ca.

Hearing Date: December 12, 2023 at 10:00 am (Eastern)

Location: Toronto, Ontario (via videoconference)

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

The Notice of Application is available at:

Cauvier, Samantha – Notice of Application

During the period described in the Notice of Hearing, Samantha Cauvier was a registered representative with PFSL Investments Canada Ltd. in Carleton Place, Ontario.

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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 investment 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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