TORONTO, Aug. 6, 2025 /CNW/ - Following a disciplinary hearing held under the Dealer Member Rules and Investment Dealer and Partially Consolidated (IDPC) Rules on April 24-25, April 28-May 2 and June 4, 2025, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) found that Matthew Philip Ewing:
a) engaged in conduct which fell below professional standards under IDPC Rule 1400 in relation to two related clients, and
b) engaged in personal financial dealings with several clients.
The hearing panel dismissed the allegations that Matthew Ewing falsified portfolio overview documents and that he engaged in unauthorized discretionary trading.
The hearing panel's reasons for the decision on liability, dated July 31, 2025 are available at:
At the time of the contraventions, Matthew Ewing was a Registered Representative with RBC Dominion Securities Inc. and National Bank Financial in Ontario. Matthew Ewing is not currently registered with CIRO-regulated firms 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.
SOURCE Canadian Investment Regulatory Organization (CIRO)
Media Inquiries: Ariel Visconti, Senior Corporate Communications and Public Affairs Specialist, [email protected] / 416-526-8240; All other Inquiries: Complaints & Inquiries, Secure form (https://www.ciro.ca/complaint-and-inquiry-submission-secure-form), Toll-free (Canada/US) 1-877-442-4322
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