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

11:05 ET

Enforcement Notice - IN THE MATTER OF Simon Roy Jaques - Discipline Decision - Liability and Penalty

VANCOUVER, July 24, 2014 /CNW/ - Following a disciplinary hearing held on March 31, 2014 and June 24, 2014, in Vancouver, B.C., a Hearing Panel of...

Jul 18, 2014, 15:00 ET

Enforcement Notice Hearing - IN THE MATTER of Milad Nassif - Discipline Hearing

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

Jul 17, 2014, 18:15 ET

Enforcement Notice - IN THE MATTER OF David Edward Sloan - Settlement Hearing

TORONTO, July 17, 2014 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Jul 17, 2014, 16:00 ET

Enforcement Notice - Decision - IN THE MATTER OF Brian Andrew Malley and Christine Marie Malley - Discipline decision - Penalty

EDMONTON, July 17, 2014 /CNW/ - Following a disciplinary hearing held on March 3, 2014, in Edmonton, Alberta, a Hearing Panel of the...

Jul 17, 2014, 11:09 ET

IIROC publishes Consultation Paper seeking input on proficiency assurance model

Committed to enhancing proficiency standards TORONTO, July 17, 2014 /CNW/ - The Investment Industry Regulatory Organization of Canada...

Jul 16, 2014, 17:13 ET

Enforcement Notice - Decision - IN THE MATTER OF Ronald Anton Putzi - Settlement Accepted

VANCOUVER, July 16, 2014 /CNW/ - On June 18, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC)...

Jul 16, 2014, 17:00 ET

Enforcement Notice - Decision - IN THE MATTER OF Bryan Andrew Vickers - Penalty Decision

TORONTO, July 16, 2014 /CNW/ - Following a penalty hearing held on June 10, 2014, a Hearing Panel of the Investment Industry Regulatory...

Jul 11, 2014, 18:59 ET

Enforcement Notice - IN THE MATTER OF Martin David Lang - Settlement Accepted

VANCOUVER, July 11, 2014 /CNW/ - On June 12, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a...

Jul 10, 2014, 16:42 ET

Enforcement Notice - IN THE MATTER OF Nicola Carolyn More - Settlement Accepted

VANCOUVER, BC, July 10, 2014 /CNW/ - On June 23, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC)...

Jul 10, 2014, 15:30 ET

Enforcement Notice - IN THE MATTER OF e3m Investments Inc. - Discipline decision - Suspension

TORONTO, July 10, 2014 /CNW/ - Following an expedited hearing held on July 4, 2014 in Toronto, Ontario, with notice to e3m Investments Inc., a...

Jul 10, 2014, 14:30 ET

Enforcement Notice Decision - IN THE MATTER OF Benjamin Huw Davies - Settlement Accepted

VANCOUVER, July 10, 2014 /CNW/ - On June 27, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC)...

Jul 10, 2014, 11:30 ET

IIROC publishes guidance on expansion of single-stock circuit breakers

Maintains fair and orderly markets TORONTO, July 10, 2014 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today...

Jul 08, 2014, 16:35 ET

Enforcement Notice - IN THE MATTER OF Mark Fridgant - Discipline Hearing

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

Jul 07, 2014, 17:46 ET

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

MONTRÉAL, July 7, 2014 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Jul 07, 2014, 14:19 ET

Enforcement Notice - IN THE MATTER OF Afam Elue - Settlement Hearing

TORONTO, July 7, 2014 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Jul 07, 2014, 13:09 ET

Enforcement Notice - Decision - IN THE MATTER OF David Hayes - Settlement Accepted

TORONTO, July 7, 2014 /CNW/ - On June 17, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), accepted a...

Jul 04, 2014, 16:30 ET

Enforcement Notice Decision - IN THE MATTER OF Mark Steven Rotstein - Settlement Accepted

TORONTO, July 4, 2014 /CNW/ - On July 3, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a...

Jun 26, 2014, 16:16 ET

Enforcement Notice - Hearing - IN THE MATTER OF Mark Steven Rotstein - Settlement Hearing

TORONTO, June 26, 2014 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Jun 26, 2014, 15:25 ET

Enforcement Notice - Hearing - IN THE MATTER OF e3m Investments Inc. - Expedited Hearing

TORONTO, June 26, 2014 /CNW/ - An expedited hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Jun 24, 2014, 12:23 ET

Enforcement Notice - Decision - IN THE MATTER OF RBC Dominion Securities - Settlement Accepted

TORONTO, June 24, 2014 /CNW/ - On June 10, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), accepted a...

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