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CIRO to Hold a Disciplinary Hearing for Antony Kin San Chau
24-0151
Type:
Hearing Notice
Rulebook connection
MFDA Rules
Contact
Toronto (Ontario), April 22, 2024 – An initial appearance has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules to set a date for a disciplinary hearing in the matter of Antony Kin San Chau.
The initial appearance is open to the public unless the hearing panel orders otherwise. The date for the disciplinary hearing will be made available at www.ciro.ca.
Initial Appearance Date: May 21, 2024, at 10:00 a.m. (Eastern Time)
Location: Toronto, Ontario by videoconference
Members of the public who would like to obtain further particulars should fill out this questionnaire.
The hearing concerns allegations that Antony Chau:
- solicited and arranged for a client to loan money to a third party for the Respondent’s benefit,
- made misleading representations to a client to have the client loan money to a third party, and
- failed to cooperate with an investigation into the Respondent’s conduct by Staff of CIRO.
The Notice of Hearing and Statement of Allegations which set out the allegations are available at:
Chau, Antony – Notice of Hearing and Statement of Allegations
During the period described in the Notice of Hearing, Antony Chau conducted business in the Richmond Hill, Ontario area. Antony Chau is no longer registered in the securities industry in any capacity.
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.
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24-0151
Type:
Hearing Notice
Rulebook connection
MFDA Rules