加拿大市场监督者面临批评, 指责经纪人没有义务审查主要披露表。 Canadian market watchdog faces criticism over ruling that brokers aren't obligated to review key disclosure forms.

一位著名的加拿大股票市场观察员David Baines批评加拿大投资监管组织(CIRO)最近作出的一项决定,该决定否定了股票经纪人审查私人定额披露表(表格9)的重要性,这是他们尽职调查的一部分。 A prominent Canadian stock market observer, David Baines, criticizes a recent Canadian Investment Regulatory Organization (CIRO) decision that dismissed the importance of stockbrokers reviewing private placement disclosure forms (Form 9s) as part of their due diligence. 这项涉及PI金融公司两名经纪人的裁决说,他们没有正式义务检查这些表格,尽管有人指控资本市场行为不当。 The ruling, involving two brokers from PI Financial, says they had no formal obligation to check these forms, despite allegations of capital market misconduct. Baines认为,这一决定损害了股票经纪人作为看门人的作用。 Baines argues this decision undermines the role of stockbrokers as gatekeepers. CIRO正在向公设法院对此案提出上诉。 CIRO is appealing the case before the B.C. 证券委员会,听证会定于2025年1月23日举行。 Securities Commission, with a hearing set for January 23, 2025.