Canadian Securities Institute

CIRO Hearing Panel issues Reasons for Decision in the matter of Maria Santos

Retrieved on:

Friday, November 10, 2023

Investment, Canadian Securities Institute, Corporation, Decision, Ethics, Respondent, Vexatious litigation, CIRO, Rule, Reason (argument), Hearing, Notice of Hearing, Knowledge, Dealer, Financial adviser

TORONTO, Nov. 10, 2023 /CNW/ - A Hearing Panel of the Canadian Investment Regulatory Organization ("CIRO"), has issued its Reasons for Decision dated October 13, 2023 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Winnipeg, Manitoba on March 8, 2023 in the matter of Maria Khristine Santos (the "Respondent").

Key Points:

TORONTO, Nov. 10, 2023 /CNW/ - A Hearing Panel of the Canadian Investment Regulatory Organization ("CIRO"), has issued its Reasons for Decision dated October 13, 2023 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Winnipeg, Manitoba on March 8, 2023 in the matter of Maria Khristine Santos (the "Respondent").
In its Reasons for Decision, the Hearing Panel confirmed the sanctions imposed on the Respondent.
During the period described in the Notice of Hearing, the Respondent conducted business in the Winnipeg, Manitoba area.
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.

Nicola Wealth Welcomes Wealth Advisors Martine Cunliffe and Robert Gareau to Its Expanding Team

Retrieved on:

Wednesday, October 25, 2023

Umbrella, CFP, CIBC, Student Investment Advisory Service, Guilé Foundation, Certification, CIM, UBS, Canadian Securities Institute, Senior, Public sector, Portfolio manager, Investment, Financial services

Vancouver, BC, Oct. 25, 2023 (GLOBE NEWSWIRE) -- Nicola Wealth Management Ltd. (Nicola Wealth), one of Canada's fastest-growing independent wealth management firms, is proud to announce the appointment of two highly accomplished wealth advisors, Martine Cunliffe and Robert Gareau, to its wealth advisory team.

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Vancouver, BC, Oct. 25, 2023 (GLOBE NEWSWIRE) -- Nicola Wealth Management Ltd. (Nicola Wealth), one of Canada's fastest-growing independent wealth management firms, is proud to announce the appointment of two highly accomplished wealth advisors, Martine Cunliffe and Robert Gareau, to its wealth advisory team.
"The addition of Martine in Vancouver and Robert in Victoria underscores our unwavering commitment to delivering exceptional full-service wealth advisory solutions for our clients nationwide as part of our ongoing journey to build a truly remarkable advisory team."
Ms. Cunliffe joins Nicola Wealth as a Wealth Advisor | Client Relationship Manager based in Vancouver, British Columbia.
Mr. Gareau joins Nicola Wealth’s expanding team in Victoria, British Columbia, where a new office has recently been opened.

AlTi Global Appoints Stephen D. Yarad as Chief Financial Officer

Retrieved on:

Monday, September 18, 2023

AlTi Global, Inc. (NASDAQ: ALTI) (“AlTi" or the “Company”), a leading independent global wealth and asset manager, today announced the appointment of Stephen D. Yarad as Chief Financial Officer and Treasurer, effective immediately.

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AlTi Global, Inc. (NASDAQ: ALTI) (“AlTi" or the “Company”), a leading independent global wealth and asset manager, today announced the appointment of Stephen D. Yarad as Chief Financial Officer and Treasurer, effective immediately.
“As a seasoned leader with extensive financial services experience, I am pleased to welcome Stephen Yarad to the executive management team,” said Michael Tiedemann, Chief Executive Officer.
Mr. Yarad joins AlTi from MFA Financial, Inc. (NYSE: MFA), a leading residential mortgage REIT, where he served as Chief Financial Officer and Treasurer since September of 2010.
Prior to joining MFA, he was an audit partner in the New York financial services practice of KPMG LLP.

CIRO Hearing Panel accepts settlement agreement with Maria Santos

Retrieved on:

Tuesday, July 11, 2023

Rule, Dealer, Investment Industry Regulatory Organization of Canada, Vexatious litigation, Indian Residential Schools Settlement Agreement, Mutual Fund Dealers Association, Settlement, Canadian Securities Institute, Corporation, Investment, Hearing, Ethics, Knowledge, Respondent, CIRO, Financial adviser

TORONTO, July 11, 2023 /CNW/ - A settlement hearing in the matter of Maria Khristine Santos (the "Respondent") was held electronically by videoconference on March 8, 2023 in Winnipeg, Manitoba before a three-member Hearing Panel of the Manitoba District Hearing Committee of the Canadian Investment Regulatory Organization ("CIRO").

Key Points:

TORONTO, July 11, 2023 /CNW/ - A settlement hearing in the matter of Maria Khristine Santos (the "Respondent") was held electronically by videoconference on March 8, 2023 in Winnipeg, Manitoba before a three-member Hearing Panel of the Manitoba District Hearing Committee of the Canadian Investment Regulatory Organization ("CIRO").
A copy of the Settlement Agreement is available on the MFDA website at www.mfda.ca .
During the period described in the Settlement Agreement, the Respondent carried on business in the Winnipeg, Manitoba area.
Canadian Investment Regulatory Organization is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces.

Palm Tree LLC Appoints Derek Alderton as Vice Chairman

Retrieved on:

Tuesday, June 27, 2023

Palm Tree LLC (“Palm Tree”), the modern M&A advisor that provides integrated investment banking, transaction support, and strategic finance services for private equity firms and businesses worldwide, today announced the appointment of Derek J. Alderton to the newly created role of Vice Chairman.

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Palm Tree LLC (“Palm Tree”), the modern M&A advisor that provides integrated investment banking, transaction support, and strategic finance services for private equity firms and businesses worldwide, today announced the appointment of Derek J. Alderton to the newly created role of Vice Chairman.
Mr. Alderton was an early investor in Palm Tree, has been a trusted strategic advisor to the firm since 2016, and served on its advisory board since 2017.
As Vice Chairman, he will expand his direct involvement in guiding the strategic direction of the firm as well as supporting future growth initiatives.
“Derek has been instrumental in providing wise and valuable counsel to me, and integral in elevating Palm Tree to new heights,” said Pardis Nasseri , CEO of Palm Tree.

BMO Launches Fund with Partners Group to Provide Simplified Access to Private Markets

Retrieved on:

Friday, June 23, 2023

BMO, Partnership, FOR, Investment, NOT, Bank of Montreal, Alternative investment, GAM, Partners Group, Sale, Risk, Canadian Securities Institute, Bank, Financial services, Security (finance)

The new BMO Partners Group Private Markets Fund offers access to a globally diversified portfolio, spanning private equity, private credit, private real estate, and private infrastructure through a single vehicle.

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The new BMO Partners Group Private Markets Fund offers access to a globally diversified portfolio, spanning private equity, private credit, private real estate, and private infrastructure through a single vehicle.
Partners Group, a leading global private markets firm with US$135 billion in assets under management1, provides an innovative range of bespoke client solutions to institutional investors, sovereign wealth funds, family offices, and private individuals globally.
"We are excited to work with Partners Group to offer a solution that simplifies investing in private markets", said Jeffrey Shell, Head of Alternative Investments, BMO Global Asset Management.
"Our partnership with BMO is a great opportunity to expand access to private markets for Canadian accredited and institutional investors," said Adam Howarth, Partner and Co-Head of Portfolio Management, Partners Group.

Securities Institute of America partners with StarCompliance to implement Compliance Management Software

Retrieved on:

Tuesday, May 2, 2023

Sustainability, Software as a service, Partnership, EST, Star, NASAA, Student, FINRA, Canadian Securities Institute, NFA, Nursing

ROCKVILLE, Md., May 2, 2023 /PRNewswire/ -- StarCompliance ("Star"), a leading SaaS provider of employee compliance technology solutions, announced today it has been selected by the Securities Institute of America (SIA) which offers best-in-class exam preparation for individuals and companies in the financial industry. Since 1996, SIA has helped more than 400,000 students pass exams and delivers the most advanced, state-of-the-art prep solutions for FINRA, NASAA and NFA exams in the market.

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Star's Licence & Registration (L&R) software solution, which greatly improves transparency into the multistep license and registration process, will be combined with SIA's comprehensive exam training platform.
By improving visibility, this will address an issue the financial services industry has been seeking - a fully integrated solution for registration and licensing management.
"The strategic partnership with Star is a major advancement for the licensing and registration industry" said Jeff Van Blarcom managing Director at The Securities Institute.
Star has more than 20 years' experience building configurable compliance technology, supporting a global client base across a broad range of financial services.

American Hotel Income Properties REIT LP Announces 2023 Annual Meeting Date and Support Agreement with Significant Securityholder

Retrieved on:

Monday, April 3, 2023

Institute of Corporate Directors, Chairperson, TD, TD Securities, National bank, Meeting, National Bank of Canada, Canadian Securities Institute, AHIP, Corporation, TSX, Support, K2

VANCOUVER, British Columbia, April 03, 2023 (GLOBE NEWSWIRE) -- American Hotel Income Properties REIT LP (“AHIP”, or the “Company”) (TSX: HOT.UN, TSX: HOT.U, TSX: HOT.DB.V), today announced that the annual meeting of unitholders of AHIP will be held in Vancouver on June 8, 2023 (the “Meeting”) and that AHIP and its general partner, American Hotel Income Properties REIT (GP) Inc. (“AHIP GP”), have entered into a support agreement (the “Support Agreement”) with K2 Principal Fund L.P. (“K2 Fund”) and K2 & Associates Investment Management Inc. (“K2” and together with K2 Fund, the “K2 Group”).

Key Points:

VANCOUVER, British Columbia, April 03, 2023 (GLOBE NEWSWIRE) -- American Hotel Income Properties REIT LP (“AHIP”, or the “Company”) (TSX: HOT.UN, TSX: HOT.U, TSX: HOT.DB.V), today announced that the annual meeting of unitholders of AHIP will be held in Vancouver on June 8, 2023 (the “Meeting”) and that AHIP and its general partner, American Hotel Income Properties REIT (GP) Inc. (“AHIP GP”), have entered into a support agreement (the “Support Agreement”) with K2 Principal Fund L.P. (“K2 Fund”) and K2 & Associates Investment Management Inc. (“K2” and together with K2 Fund, the “K2 Group”).
The K2 Group is a significant securityholder of AHIP.
The Support Agreement provides for, among other things, the right of the K2 Group to nominate one individual for election to the board of directors of AHIP GP (the “Board”) at the Meeting.
For purposes of the Meeting, the K2 Group has identified Josef Vejvoda as its nominee.

The Securities Institute of America Welcomes ExamZone To Further Increase Its Securities Exam Prep Portfolio

Retrieved on:

Thursday, March 23, 2023

Learning, Canadian Securities Institute, Student

DENVER and NEW YORK, March 23, 2023 /PRNewswire-PRWeb/ -- Today, The Securities Institute of America, a premiere provider of exam training materials for securities professionals, announced that it has expanded its securities exam prep portfolio with the addition of ExamZone. The addition of ExamZone continues The Institute's commitment to expanding its portfolio and distinguishing itself as a technology and content leader in the securities training industry. The Institute plans to announce new content acquisitions, partnerships and the introduction of new technologies throughout 2023.

Key Points:

The Securities Institute of America, a premiere provider of exam training materials for securities professionals, has expanded its securities exam prep portfolio with the addition of ExamZone.
DENVER and NEW YORK, March 23, 2023 /PRNewswire-PRWeb/ -- Today, The Securities Institute of America, a premiere provider of exam training materials for securities professionals, announced that it has expanded its securities exam prep portfolio with the addition of ExamZone.
The addition of ExamZone continues The Institute's commitment to expanding its portfolio and distinguishing itself as a technology and content leader in the securities training industry.
"The Securities Institute is thrilled to add Exam Zone's unique content to our training platform," said Jeff Van Blarcom, Managing Director of The Securities Institute of America.

AEGIS Hedging Appoints Dave McLellan as Director of Canada

Retrieved on:

Friday, February 24, 2023

AEGIS Hedging Solutions ("AEGIS" or “the Company"), a leader in technology and expertise for commodity and environmental markets, today announced the appointment of Dave McLellan to the newly created position of Director of Canada.

Key Points:

AEGIS Hedging Solutions ("AEGIS" or “the Company"), a leader in technology and expertise for commodity and environmental markets, today announced the appointment of Dave McLellan to the newly created position of Director of Canada.
With over 25 years of experience in finance and energy, Dave will manage existing customer and financial counterparty relationships, help AEGIS enter new markets and lead business development efforts in Canada.
As organizations across every sector seek increased certainty amidst volatile commodity prices, hedging is now a mission-critical activity.
"AEGIS is the clear market leader in the United States, and its hedging platform and environmental market solutions are applicable worldwide," said McLellan.