IN THE MATTER OF Sandly Alteon – Adjournment

Toronto (Ontario), February 13, 2024 – An initial appearance scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) in the matter of Sandly Alteon for February 5, 2024 has been adjourned to February 20, 2024.

The hearing is open to the public unless the hearing panel orders otherwise.

The decision of the hearing panel will be made available at www.ciro.ca.

New Initial Appearance Date: February 20, 2024 at 2:00 pm (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 Sandly Alteon:

1. engaged in personal financial dealings with a client, giving rise to a conflict or potential conflict of interest that the Respondent failed to disclose to the Dealer Member or otherwise address by the exercise of responsible business judgment influenced only by the best interests of the client;
2. engaged in outside activities that were not disclosed to or approved by the Dealer Member; and
3. failed to cooperate with an investigation into the Respondent’s conduct by Staff of CIRO.

The Notice of Hearing and Statement of Allegations which sets out the allegations are available at: 

Alteon, Sandly – Notice of Hearing and Statement of Allegations

At all material times, Sandly Alteon conducted business in the Laval, Quebec area.