TORONTO, Feb. 27, 2026 /CNW/ - Following a pre-hearing conference held on February 13, 2026, and with the consent of the parties, a motion has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules to consider Angie Lau's request for an adjournment of the hearing originally set for April 20-24, 2026.

The motion 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.

Motion Date:               March 16, 2026 at 10:30 a.m. (Eastern Time)

Location:                     Toronto, Ontario (by videoconference)

Members of the public who would like to obtain further particulars should fill out this form.

The motion relates to a disciplinary proceeding initiated against Angie Lau, which alleges that she:

a)    failed to identify, report, or address material conflicts of interest when soliciting and obtaining monies from clients,

b)    recommended, sold, or facilitated the sale of investments outside the Dealer Member to clients and other individuals, thereby engaging in securities-related business that was not conducted through the Dealer Member or unapproved outside activity in respect of the sale of investments, and

c)    failed to cooperate with an investigation into her conduct by CIRO Enforcement Staff.

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

Lau, Angie – Notice of Hearing and Statement of Allegations 

The alleged violations occurred while Angie Lau was a Registered Dealing Representative with Desjardins Financial Security Investments Inc. in the Ottawa, Ontario area. Angie Lau is not currently registered in the securities industry in any capacity.

The Canadian Investment Regulatory Organization (CIRO) is the pan-Canadian 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)