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.

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 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...

Jul 31, 2014, 16:30 ET

Enforcement Notice - Decision - IN THE MATTER OF Charline Gilbert - Settlement Accepted

MONTRÉAL, July 31, 2014 /CNW/ - On June 11, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC)...

Jul 28, 2014, 13:35 ET

Enforcement Notice - Decision - IN THE MATTER OF Afam Elue - Settlement Accepted

TORONTO, July 28, 2014 /CNW/ - On July 15, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a...

Jul 24, 2014, 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...