VANCOUVER, BC, June 3, 2025 /CNW/ - On April 28, 2025, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) held a hearing pursuant to the Mutual Fund Dealer Rules and accepted a settlement agreement, with sanctions, between Enforcement Staff and Christopher Leslie Meehan.
Christopher Meehan admitted to engaging in securities related business that was not carried on for the account or through the facilities of the Dealer Member by directly or indirectly entering into agreements with Investors to trade crypto assets on their behalf.
Pursuant to the settlement agreement, Christopher Meehan agreed to a suspension from conducting securities related business in any capacity while in the employ of or associated with any Dealer Member of CIRO registered as a mutual fund dealer for a period of four months, a fine of $45,000 and costs of $5,000.
Meehan, Christopher – Settlement Agreement
The hearing panel's decision will be made available at www.ciro.ca.
At all material times, Christopher Meehan conducted business in the Abbotsford, British Columbia area with Assante Financial Management Ltd. (Assante). Christopher Meehan continues to be registered as an Approved Person with Assante.
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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SOURCE Canadian Investment Regulatory Organization (CIRO)
Media Inquiries: Ariel Visconti, Senior Corporate Communications and Public Affairs Specialist, [email protected], 416-526-8240
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