Decision Notice - CIRO Sanctions Jagdish Chandane Français
Jagdish Chandane admitted to failing in his obligations regarding the proper execution of client account documents, resulting in the collection, possession, and use of pre-signed and altered client account forms.
Pursuant to the settlement agreement, Jagdish Chandane agreed to a fine of $15,000 and costs of $2,500.
The Settlement Agreement is available at:
Chandane, Jagdish – Settlement Agreement
The hearing panel's decision will be made available at www.ciro.ca.
At all material times, Jagdish Chandane conducted business with Investia Financial Services Inc. in the Oakville, Ontario area. Jagdish Chandane is currently active in the industry as a dealing representative with Investia Financial Services Inc.
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)
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Decision Notice - CIRO Sanctions Hongjia Liu Français
VANCOUVER, BC, July 4, 2025 /CNW/ - On June 18, 2025, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) held a hearing pursuant to the Investment Dealer and Partially Consolidated Rules and accepted a settlement agreement, with sanctions, between Enforcement Staff and Hongjia Liu. Hongjia Liu admitted to engaging in discretionary trading in the futures accounts of certain clients and agreed to pay a fine of $75,000, disgorgement of $225,000 and a six-month suspension from acting in a registered capacity. Hongjia Liu will also pay costs of $15,000. The Settlement Agreement is available at: Liu, Hongjia – Settlement Agreement The hearing panel's reasons for decision will be made available at At the time of the allegations, Hongjia Liu conducted business in the Vancouver, British Columbia area as a Registered Representative with RBC Dominion Securities Inc. Hongjia Liu is currently not registered in the securities industry 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 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. All other Inquiries: Complaints & Inquiries Secure form Toll-free (Canada/US) 1-877-442-4322 SOURCE Canadian Investment Regulatory Organization (CIRO)
