TORONTO, May 3, 2024
/CNW/ - A penalty hearing in the matter of Joshua Emanuel Mifsud was held before a hearing
panel of the Canadian Investment Regulatory Organization (CIRO) on
April 23, 2024. After receiving an
Agreed Statement of Facts and hearing submissions from CIRO Staff
and Joshua Emanuel Mifsud concerning
sanctions, the Hearing Panel reserved judgment and advised that
they will issue their decision and written reasons in due
course.
The decision of the hearing panel will be made available at
www.ciro.ca.
The Notice of Hearing and Statement of Allegations are available
at:
Mifsud, Joshua – Notice of Hearing and Statement of
Allegations
During the period described in the Notice of Hearing,
Joshua Emanuel Mifsud conducted
business in the Halton Hills,
Ontario, area.
* * *
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
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.
SOURCE Canadian Investment Regulatory Organization (CIRO)