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.
On May 28, 2013, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), accepted a Settlement Agreement, with sanctions, between IIROC staff and John Winston Lang.
IIROC’s second annual exemption report has been released.
On May 14, 2013, an IIROC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and Guy François Brunet.
On May 21, an IIROC hearing panel accepted a settlement agreement between IIROC staff and Henry Gerald Martens.
On May 15, 2013, an IIROC hearing panel accepted a settlement agreement, with sanctions.
IIROC says a rep transferred funds out of a client's account without their knowledge or consent.
Additional funds will be handed to eligible investors who bought third-party ABCP from Deutsche Bank Securities between July and August 2007.
On May 2, 2013, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), accepted a Settlement Agreement between the IIROC staff and Glenn Arthur Taggart.
IIROC has requested assistance for Phase 3 of its high-frequency trading study.