November 28, 2023 (Toronto, Ontario) – The New Self-Regulatory Organization of Canada, a consolidation of IIROC and the MFDA, now Canadian Investment Regulatory Organization (“CIRO”), commenced a disciplinary proceeding in respect of George Maxim Lukiwski (the “Respondent”) by Notice of Hearing dated March 22, 2023 (“Notice of Hearing”).
The disciplinary hearing in this matter was held electronically by videoconference on September 15, 2023 before a three-member Hearing Panel of the Saskatchewan District Hearing Committee of CIRO. After receiving an Agreed Statement of Facts and hearing submissions from Staff of CIRO and the Respondent’s counsel with respect to sanctions, the Hearing Panel reserved judgment and advised they will issue their decision and written reasons in due course.
Copies of the Notice of Hearing and the Agreed Statement of Facts are available on the MFDA website at www.mfda.ca. During the period described in the Agreed Statement of Facts, the Respondent carried on business in the Saskatoon, Saskatchewan area.
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 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.