News from investment industry regulatory organization of canada (iiroc) A wide array of domestic and global news stories; news topics include politics / government, business, technology, religion, sports/entertainment, science/nature, and health/lifestyle. Articles that appear in this section may be written in English or other languages, as well.

Sep 18, 2014, 14:37 ET

Enforcement Notice - IN THE MATTER OF Steve Duchaine - Discipline Hearing

MONTREAL, Sept. 18, 2014 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Sep 18, 2014, 13:20 ET

IIROC republishes remaining Client Relationship Model reforms

TORONTO, Sept. 18, 2014 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) republished today for further public comment the...

Sep 17, 2014, 12:00 ET

Enforcement Notice - IN THE MATTER OF Marc McQuillen - Review Decision

TORONTO, Sept. 17, 2014 /CNW/ - The Ontario Securities Commission (the "OSC") has released its Reasons and Decision in the matter of Marc...

Sep 10, 2014, 17:30 ET

Enforcement Notice - Decision - IN THE MATTER OF Jay Alan Blackmore - Settlement Accepted

CALGARY, Sept. 10, 2014 /CNW/ - On August 25, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC)...

Sep 10, 2014, 11:42 ET

IIROC Members Approve Board of Directors

Board Re-Appoints Chair M. Marianne Harris TORONTO, Sept. 10, 2014 /CNW/ - At the Annual General Meeting (AGM) of the Investment Industry...

Sep 08, 2014, 18:11 ET

Enforcement Notice - Hearing - IN THE MATTER OF Milad Nassif - Settlement Hearing

MONTRÉAL, Sept. 8, 2014 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Sep 08, 2014, 17:04 ET

Enforcement Notice Hearing - IN THE MATTER OF Sajed Karim - Settlement Hearing

TORONTO, Sept. 8, 2014 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Sep 08, 2014, 13:00 ET

IIROC Releases Annual Report for 2013-2014

TORONTO, Sept. 8, 2014 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) has released its 2013-14 Annual Report which...

Sep 03, 2014, 11:00 ET

IIROC names Andrew J. Kriegler as President and CEO

TORONTO, Sept. 3, 2014 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today announced the appointment of Andrew J....

Aug 22, 2014, 16:48 ET

Enforcement Notice Hearing - IN THE MATTER OF Steve Duchaine - Appearance to set a hearing date

MONTRÉAL, Aug. 22, 2014 /CNW/ - An appearance has been scheduled before a Hearing Panel of the Investment Industry Regulatory...

Aug 21, 2014, 17:44 ET

Enforcement Notice Hearing - IN THE MATTER OF Donald Earl Phillips - Appearance to set a hearing date

CALGARY, Aug. 21, 2014 /CNW/ - An appearance has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Aug 18, 2014, 16:49 ET

Enforcement Notice Hearing - IN THE MATTER OF Jay Alan Blackmore - Settlement Hearing

CALGARY, Aug. 18, 2014 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Aug 15, 2014, 12:04 ET

IIROC Trading Resumption - AXC

VANCOUVER, Aug. 12, 2014 /CNW/ - Trading resumes in: Company: ALEXANDRA CAPITAL CORP. TSX-Venture Symbol: AXC Resumption: 8:00 August 13,...

Aug 15, 2014, 12:02 ET

IIROC Trading Resumption - MXC.H

VANCOUVER, Aug. 12, 2014 /CNW/ - Trading resumes in: Company: MARGAUX RED CAPITAL INC. TSX-Venture Symbol: MXC.H Resumption: 8:00 August 13,...

Aug 15, 2014, 11:59 ET

IIROC Trading Resumption - UG

VANCOUVER, Aug. 12, 2014 /CNW/ - Trading resumes in: Company: UGE INTERNATIONAL LTD. TSX-Venture Symbol: UG Resumption: 8:00 August 13,...

Aug 13, 2014, 16:29 ET

Enforcement Notice Hearing - IN THE MATTER OF Sydney Azancot - Adjournment

MONTRÉAL, Aug. 13, 2014 /CNW/ - A hearing before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the...

Aug 07, 2014, 12:45 ET

Enforcement Notice - Decision - IN THE MATTER OF Penson Financial Services Canada Inc. - Termination

MONTRÉAL, Aug. 7, 2014 /CNW/ - On Wednesday, August 6, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Aug 01, 2014, 15:40 ET

Enforcement Notice - Decision - IN THE MATTER OF David Edward Sloan - Settlement Accepted

TORONTO, Aug. 1, 2014 /CNW/ - On July 18, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a...

Aug 01, 2014, 10:51 ET

Enforcement Notice - Hearing - IN THE MATTER OF Penson Financial Services Canada Inc. - Expedited Hearing

MONTRÉAL, Aug. 1, 2014 /CNW/ - An expedited hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory...

Jul 31, 2014, 17:15 ET

Enforcement Notice - Hearing - IN THE MATTER OF Douglas John Eley - Discipline Hearing

TORONTO, July 31, 2014  /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...