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Decision Notice - CIRO Hearing Panel issues Reasons for Decision in the matter of Wei (Wendy) Seto

CNW Group

Fri, February 20, 2026 at 1:30 AM GMT+9 2 min read

TORONTO, Feb. 19, 2026 /CNW/ - Following a settlement hearing held on January 20, 2026, pursuant to the Investment Dealer and Partially Consolidated Rules, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) issued its reasons for decision on February 2, 2026.

Canadian Investment Regulatory Organization (CIRO) Logo (CNW Group/Canadian Investment Regulatory Organization (CIRO))

The hearing panel’s reasons for decision are available at:

Re Seto 2026 CIRO 06

In their reasons for decision, the hearing panel found that Wei (Wendy) Seto engaged in personal financial dealings with five Dealer Member clients. In accordance with the settlement agreement, the panel confirmed a one-month suspension commencing on the date of approval of the settlement agreement, a fine of $75,000 and costs of $20,000 imposed on Wei (Wendy) Seto.

At all material times, Wei (Wendy) Seto conducted business at RBC Dominion Securities Inc. in the Toronto, Ontario area. Wei (Wendy) Seto is currently employed in a registered capacity at CIBC World Markets Inc.

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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