IIROC

Suspension, ban of members up to hearing panels: IIROC Fallback Image Decorative pattern

Industry

Suspension, ban of members up to hearing panels: IIROC

The board of directors of IIROC are revising previously published proposed plain language rules 2100 through to 2700.

By Staff |July 2, 2013

3 min read

Rep suspended, fined $30,000 Fallback Image Decorative pattern

Industry

Rep suspended, fined $30,000

On June 10, 2013, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement, with sanctions, between IIROC staff and Derek George Laidlaw Axford.

By Staff |June 24, 2013

2 min read

IIROC fines reps $135,000 Fallback Image Decorative pattern

Industry

IIROC fines reps $135,000

Following a penalty hearing held on April 15, 2013, an IIROC hearing panel imposed several penalties on Charles B. Floyd and James Gordon McDonald.

By Staff |June 13, 2013

1 min read

IIROC fines rep $10,000 Fallback Image Decorative pattern

Industry

IIROC fines rep $10,000

On May 30, 2013, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), accepted a Settlement Agreement, with sanctions, between IIROC staff and Yufeng Zhang.

By Staff |June 10, 2013

1 min read