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.

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)...

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...