Decision Notice – CIRO Sanctions Joshua Emanuel Mifsud

TORONTO, May 23, 2024 /CNW/ – On April 23, 2024, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) reserved their decision on penalty in the matter of Joshua Mifsud.

The Hearing Panel has issued their decision and imposed a fine of $5,000 and costs of $2,500.

The sanctions decision and reasons can be found at:

Re Mifsud 2024 CIRO 50

During the period described in the Notice of Hearing, Joshua Mifsud conducted business in the Halton Hills, Ontario, area. 

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)