Iiroc Settlement Agreements

The hearing is not public, but becomes open if and when the body accepts the agreement. Members of the public interested in the hearing may, prior to the hearing, contact the coordinator of the IIROC National Hearing at the [email protected] address for details. If the agreement is adopted, the reasons for the decision and the transaction agreement will be made available on www.iiroc.ca. The transaction agreement is available at www.iiroc.ca/documents/2020/13d5feec-bd0c-412a-bc9d-bbf6ab9cdf9d_en.pdf Communication on the Counting Consultation can be accessed at: www.iiroc.ca/documents/2020/38758f55-8fc9-4752-9000-6b7843e9de3e_en.pdf The decision of the advisory body will be made public on www.iiroc.ca. The Investment Industry Regulatory Organization of Canada (IIROC) has officially opened a settlement agreement with sanctions between its employees and a consultant with the Montreal subsidiary of Scotia Capital Inc. IIROC, which officially opened the investigation into Mr. Workun`s conduct in February 2016. The behaviour occurred when he was a registered representative at the calgary branch of Leede Jones Gable Inc., a company regulated by the IIROC. Mr. Workun is employed by Leede Jones Gable Inc. . The agreement relates to allegations that Instinet Canada Limited failed to comply with its trade monitoring obligations in order to prevent and detect potentially manipulative and deceptive business activities by one of its direct customers for electronic access. In addition, it must bear a cost of IIROC of $5,000.

Application release – Decision – IIROC Sanctions Mackie Research… View original content: www.newswire.ca/en/releases/archive/May2020/14/c1929.html . The agreement relates to allegations that Mr. Workun did not use due diligence to ensure that the recommendations are appropriate for a client and that they engage in discretionary trading with that client`s accounts. Documents relating to the ongoing IIROC enforcement procedures – including the reasons and decisions of the consultation bodies – will be published on the IIROC website as they become available. Click here to browse and access all IIROC intervention documents. . IIROC is the pan-Canadian self-regulatory organization that monitors all investment traders and their business activities in the Canadian debt and equity markets.