(Toronto, Ontario) - February 14, 2023 – An application has been scheduled before a Hearing Panel of the Investment Dealer Division of the New Self-Regulatory Organization of Canada (New SRO) in the matter of Brant Securities Limited. The application is for an order expelling Brant Securities Limited from New SRO and terminating its rights and privileges of membership.
The application will be heard on February 23, 2023 at 10:00 a.m. via videoconference.
The decision of the Hearing Panel will be made available at www.iiroc.ca.
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All information about disciplinary proceedings relating to current and former member firms is available in the Enforcement section of the IIROC website.
Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by New SRO-regulated firms (Investment Dealer Division) 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.
New SRO 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.
New Self-Regulatory Organization of Canada (New SRO) 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 (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA), 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.
Other Notices associated with this Enforcement Proceeding:
02/14/23IN THE MATTER OF Brant Securities Limited – ApplicationType: Enforcement NoticeSubtype: Hearing