VANCOUVER, BC, June 21,
2024 /CNW/ - A hearing has been scheduled before a
hearing panel of the Canadian Investment Regulatory Organization
(CIRO) pursuant to the Mutual Fund Dealer Rules to
consider a settlement agreement entered into between Enforcement
Staff and Gulnar Carlisle.
The hearing will become open to the public in the event that the
panel accepts the settlement agreement. If the settlement agreement
is accepted, the panel's decision and the settlement agreement will
be made available at www.ciro.ca.
Settlement Hearing Date: July 15,
2024 at 10:00 am (Pacific
Time)
Location: Vancouver, British Columbia (by videoconference)
Members of the public who would like to obtain further
particulars should fill out this questionnaire.
The Notice of Settlement Hearing announcing the settlement
hearing is available at:
Carlisle, Gulnar - Notice of Settlement Hearing
At all material times, Gulnar
Carlisle conducted business in the North Vancouver, British Columbia area until
June 2023.
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.
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.
SOURCE Canadian Investment Regulatory Organization (CIRO)