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.

May 04, 2015, 16:31 ET

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

TORONTO, May 4, 2015 /CNW/ - Following a set date hearing held on February 26, 2015, in Charlottetown, Prince Edward Island, a Hearing Panel of the...

Apr 28, 2015, 16:27 ET

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

TORONTO, April 28, 2015 /CNW/ - An appearance to set a date for the disciplinary hearing in this matter was held before a Hearing Panel of the...

Apr 21, 2015, 16:30 ET

Enforcement Notice - Hearing - IN THE MATTER OF Sheldon Don Birkeland - Settlement Hearing

CALGARY, April 21, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Apr 21, 2015, 12:26 ET

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

TORONTO, April 21, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Apr 17, 2015, 15:54 ET

Enforcement Notice - Hearing - IN THE MATTER OF Patrick William McLaughlin, Andrew Michael McManus and Sharon Marie Lozinski - Settlement Hearing

CALGARY, April 17, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Apr 16, 2015, 15:49 ET

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

MONTRÉAL, April 16, 2015 /CNW/ - A penalty hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory...

Apr 13, 2015, 15:27 ET

Enforcement Notice - Hearing - IN THE MATTER OF Independent Trading Group (ITG) Inc. - Settlement Hearing

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

Apr 09, 2015, 11:25 ET

Enforcement Notice - Hearing - IN THE MATTER OF Thomas William Dunn and Gordon Joseph Wimble - Settlement Hearing

CALGARY, April 9, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Mar 30, 2015, 16:24 ET

Enforcement Notice - Hearing - IN THE MATTER OF Jacques Turenne - Adjournment

MONTRÉAL, March 30, 2015 /CNW/ - A disciplinary hearing was originally scheduled before a Hearing Panel of the Investment Industry...

Mar 30, 2015, 15:56 ET

Enforcement Notice Hearing - IN THE MATTER OF Probhash Mondal - Settlement Hearing

TORONTO, March 30, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Mar 30, 2015, 15:15 ET

IIROC republishes proposal on marketplace thresholds

TORONTO, March 30, 2015 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today republished for comment proposed...

Mar 30, 2015, 11:00 ET

IIROC releases 2014 Enforcement Report

Strengthening investor protection TORONTO, March 30, 2015 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today released...

Mar 16, 2015, 11:05 ET

IIROC issues annual Exemption Report

TORONTO, March 16, 2015 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today published its annual Exemption Report to...

Mar 13, 2015, 15:30 ET

Enforcement Notice Decision - IN THE MATTER OF Julian Ricci - Review Decision

TORONTO, March 13, 2015 /CNW/ - The decision of a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter...

Mar 12, 2015, 10:15 ET

Enforcement Notice Hearing - IN THE MATTER OF Jacques Turenne - Discipline Hearing

MONTREAL, March 12, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Mar 10, 2015, 13:00 ET

IIROC encourages Canadians to ask questions and do research before investing

March is Fraud Prevention Month TORONTO, March 10, 2015 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) reminds...

Mar 06, 2015, 15:20 ET

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

TORONTO, March 6, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Mar 06, 2015, 10:24 ET

IIROC publishes further academic paper on impact of HFT

Results to shed light on impact of dark rules on market quality and integrity TORONTO, March 6, 2015 /CNW/ - The Investment Industry...

Mar 05, 2015, 11:00 ET

Enforcement Notice Decision - IN THE MATTER OF Douglas Terrence Steer - Discipline decision - Liability and Penalty

VANCOUVER, March 5, 2015 /CNW/ - Following a disciplinary hearing held on January 27, 2015, in Vancouver, B.C., a Hearing Panel of the Investment...

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)...