VANCOUVER, BC, April 8, 2026 /CNW/ - An initial appearance has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Investment  Dealer Rules in the matter of  Yi Cun (Harry) Liu.

The initial appearance is open to the public unless the hearing panel orders otherwise. The date for the disciplinary hearing will be made available at www.ciro.ca.

Initial Appearance Date: April 27, 2026 at 10:00 a.m. (Pacific Time)

Location: Vancouver, British Columbia (via videoconference)

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

The hearing concerns allegations that Yi Cun (Harry) Liu:

a)  engaged in conduct deemed unbecoming or detrimental to the public interest;

b)  entered into personal financial dealings with a client by borrowing approximately $110,640 without the knowledge or consent of his Dealer Member firm; and

c)  failed to cooperate with CIRO Enforcement Staff's investigation.

The Notice of Hearing and Statement of Allegations, which set out the allegations, are available at:

Liu, Yi Cun (Harry) – Notice of Hearing and Statement of Allegations

The alleged violations occurred while Liu was a Registered Representative with  Ventum Financial Corp. in the Vancouver, British Columbia area. Liu 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.

SOURCE Canadian Investment Regulatory Organization (CIRO)