IN THE MATTER OF Carren Kwok Wah Au – Adjournment

Toronto (Ontario), March 26, 2024 - A hearing in the matter of Carren Kwok Wah Au, initially scheduled to be held before a hearing panel of the Mutual Fund Dealer Division of the Canadian Investment Regulatory Organization (CIRO) on March 28, 2023, has been adjourned to May 15, 2024.

The hearing 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.

New Hearing Date: May 15, 2024, at 10:00 am (Eastern Time)

Location: Toronto, Ontario by videoconference

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

The hearing concerns allegations that Carren Au:

1. misappropriated or failed to account for monies that the Respondent obtained from clients and other individuals; and
2. failed to cooperate with an investigation into the Respondent's conduct by MFDA Staff.

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

Au, Carren - Notice of Hearing and Statement of Allegations

During the period described in the Notice of Hearing, Carren Au conducted business in the Toronto, Ontario area.