Enforcement Notice - Hearing - IN THE MATTER OF Thi Sen Chher - Appeal Requested
MONTRÉAL, Sept. 26, 2013 /CNW/ - On August 29, 2013, Thi Sen Chher filed an application to appeal with the Court of Québec, Administrative and Appeal Division, District of Hull, against the decision of the Bureau de décision et de révision (BDR) dated July 31, 2013. The decision of the BDR dismisses Mr. Chher's request for review and upholds the decisions of the Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) rendered on August 12, 2011 and January 27, 2012.
The BDR's decision dated July 31, 2013 is available at http://www.bdr.gouv.qc.ca/fr/decisions.aspx.
Documents related to ongoing IIROC enforcement proceedings - including Reasons and Decisions of Hearing Panels - are posted on the IIROC website as they become available. Click here to search and access all IIROC enforcement documents.
IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. Created in 2008 through the consolidation of the Investment Dealers Association of Canada and Market Regulation Services Inc., IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets.
IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.
IIROC investigates possible misconduct by its member firms and/or individual registrants. It can bring disciplinary proceedings which may result in penalties including fines, suspensions, permanent bars, expulsion from membership, or termination of rights and privileges for individuals and firms.
All information about disciplinary proceedings relating to current and former member firms is available in the Enforcement section of the IIROC website. Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by IIROC-regulated firms is available free of charge through the IIROC AdvisorReport service. Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1 877 442-4322.
SOURCE Investment Industry Regulatory Organization of Canada (IIROC) - General News