News from investment industry regulatory organization of canada (iiroc) - general news 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.

Feb 27, 2015, 12:47 ET

Enforcement Notice Decision - IN THE MATTER OF M Partners Inc. - Settlement Accepted

TORONTO, Feb, 27, 2015 /CNW/ - On February 23, 2015, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC)...

Feb 23, 2015, 15:30 ET

Enforcement Notice Hearing - IN THE MATTER OF Krishna Sammy - Adjournment

TORONTO, Feb. 23, 2015 /CNW/ - An appearance had been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Feb 18, 2015, 15:35 ET

Enforcement Notice Hearing - IN THE MATTER OF Yu Qiong (Kevin) Li - Discipline Hearing

VANCOUVER, Feb. 18, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Feb 13, 2015, 15:44 ET

Enforcement Notice Hearing - IN THE MATTER OF M Partners Inc. - Settlement Hearing

TORONTO, Feb. 13, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Feb 13, 2015, 15:00 ET

Enforcement Notice Hearing - IN THE MATTER OF Daniel Siska - Settlement Hearing

MONTRÉAL, Feb. 13, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Feb 12, 2015, 15:41 ET

Enforcement Notice Hearing - IN THE MATTER OF John Phillip Watts and Sean Thomas Hickey - Appearance to set a hearing date

TORONTO, Feb. 12, 2015 /CNW/ - Following a set date hearing held on September 30, 2014, in Charlottetown, Prince Edward Island, a Hearing...

Feb 11, 2015, 13:10 ET

Enforcement Notice Hearing - IN THE MATTER OF Jacques Turenne - Appearance to set a hearing date

MONTRÉAL, Feb. 11, 2015 /CNW/ - An appearance has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Feb 10, 2015, 16:19 ET

Enforcement Notice Decision - IN THE MATTER OF Donald Earl Phillips - Settlement Accepted

CALGARY, Feb. 10, 2015 /CNW/ - On February 5, 2015, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a...

Feb 06, 2015, 12:47 ET

Enforcement Notice Decision - IN THE MATTER OF Kelly Richard Jones - Settlement Accepted

CALGARY, Feb. 6, 2015 /CNW/ - On January 23, 2015, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a...

Feb 06, 2015, 12:10 ET

Enforcement Notice Decision - IN THE MATTER OF Hugo Michel Nicolas Kotar - Settlement Accepted

VANCOUVER, Feb. 6, 2015 /CNW/ - On January 21, 2015, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted...

Feb 05, 2015, 15:15 ET

Enforcement Notice Decision - IN THE MATTER OF Owen Blagrave Menzel - Settlement Accepted

TORONTO, Feb. 5, 2015 /CNW/ - On January 16, 2015, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a...

Feb 03, 2015, 15:45 ET

Enforcement Notice Hearing - IN THE MATTER OF Donald Earl Phillips - Settlement Hearing

CALGARY, Feb. 3, 2015 /CNW/ - A contested hearing was originally scheduled before a Hearing Panel of the Investment Industry Regulatory...

Feb 02, 2015, 16:06 ET

Enforcement Notice Decision - IN THE MATTER OF Steve Duchaine - Discipline Decision - Liability

MONTRÉAL, Feb. 2, 2015 /CNW/ - Following a disciplinary hearing held on September 10, 2014, October 3, 2014 and November 6 and 7, 2014, in...

Jan 30, 2015, 15:45 ET

Enforcement Notice - Hearing - IN THE MATTER OF Krishna Sammy - Appearance to set a hearing date

TORONTO, Jan. 30, 2015 /CNW/ - An appearance has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Jan 29, 2015, 12:08 ET

IIROC re-publishes proposed anti-avoidance provision

Proposed amendments support healthy price discovery on Canadian markets TORONTO, Jan. 29, 2015 /CNW/ - With the emerging threat of orders for...

Jan 27, 2015, 11:05 ET

IIROC issues 2014-2015 Consolidated Compliance Report

Signals key surveillance and exam priorities for coming year TORONTO, Jan. 27, 2015 /CNW/ - The Investment Industry Regulatory Organization...

Jan 26, 2015, 15:45 ET

Enforcement Notice IN THE MATTER OF Grant Patrick Matthews - Penalty Decision

CALGARY, Jan. 26, 2015 /CNW/ - Following a penalty hearing held on December 11, 2014, a Hearing Panel of the Investment Industry Regulatory...

Jan 23, 2015, 16:23 ET

Enforcement Notice Decision - IN THE MATTER OF Paul Christopher Darrigo - Penalty Decision

TORONTO, Jan. 23, 2015 /CNW/ - Following a penalty hearing held on December 19, 2014, a Hearing Panel of the Investment Industry Regulatory...

Jan 23, 2015, 13:14 ET

Enforcement Notice Hearing - IN THE MATTER OF Donald Earl Phillips - Discipline Hearing

CALGARY, Jan. 23, 2015 /CNW/ - A hearing was originally scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Jan 22, 2015, 15:38 ET

Enforcement Notice - Hearing - IN THE MATTER OF Glenn Arthur Taggart- Discipline Hearing

TORONTO, Jan. 22, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...