Investment Industry Regulatory Organization of Canada

Investment Industry Regulatory Organization of Canada
Investment Industry Regulatory Organization of Canada
Type: Organization
Name: Investment Industry Regulatory Organization of Canada (IIROC)
First reported 13 hours ago - Updated 11 hours ago - 1 reports

BCSC Alleges Fraud and Illegal Distributions Against Two Sisters and Alberta Company

) - The executive director of the British Columbia Securities Commission has issued a notice of hearing alleging that Siu Mui "Debbie" Wong, Siu Kon "Bonnie" Soo, and an Alberta company co-founded by them committed fraud and illegally distributed securities. ... [Published Market Wire - 13 hours ago]
First reported 11 hours ago - Updated 11 hours ago - 3 reports

Legend Power grants stock options, announces changes in the board of directors and adopts an advance notice policy

Legend Power Systems Inc. (www.legendpower.com) is a leading electrical energy conservation company that manufactures and markets a patented device to help commercial and industrial customers achieve significant energy savings through voltage optimization. ... [Published Stockhouse Canada - 11 hours ago]
First reported 21 hours ago - Updated 13 hours ago - 2 reports

IIROC Trading Resumption - CCC

Canada NewsWireVANCOUVER, May 22, 2013VANCOUVERCompany: CORNERSTONE METALS INC.TSX-Venture Symbol: CCCResumption: At the open on May 23, 2013The Investment Industry Regulatory Organization of CanadaSOURCE: Investment Industry Regulatory Organization of ... [Published Digital Journal - 13 hours ago]
First reported 15 hours ago - Updated 15 hours ago - 1 reports

IIROC Trade Resumption - CRQ

Canada NewsWireTORONTO, May 22, 2013TORONTOCompany: iShares Canadian Fundamental Index FundTSX Symbol: CRQResumption: 2:11:23 PM ETThe Investment Industry Regulatory Organization of CanadaSOURCE: Investment Industry Regulatory Organization of Canada ... [Published Digital Journal - 15 hours ago]
First reported 15 hours ago - Updated 15 hours ago - 1 reports

IIROC Trading Halt - CRQ

Canada NewsWireTORONTO, May 22, 2013TORONTOCompany: iShares Canadian Fundamental Index FundTSX Symbol: CRQReason: Single-Stock Circuit Breaker / Pending NewsHalt Time (ET): 2:06:23 PM ETThe Investment Industry Regulatory Organization of CanadaSOURCE: ... [Published Digital Journal - 15 hours ago]
First reported 15 hours ago - Updated 15 hours ago - 1 reports
Toronto stock exchange
Toronto stock exchange

CRS Electronics Announces Resignation of CFO

WELLAND, ONTARIO -- (Marketwired) -- 05/22/13 -- CRS Electronics Inc. ("CRS" or the "Company"), (TSX VENTURE: LED), a developer and manufacturer of LED lighting, today announced the resignation of Michael Lam, Chief Financial Officer.Mr. Lam's replacement ... [Published FinanzNachrichten.de - 15 hours ago]
First reported 15 hours ago - Updated 15 hours ago - 1 reports
Investment Industry Regulatory Organization of Canada
Investment Industry Regulatory Organization of Canada

IIROC Trade Resumption - MYN

Canada NewsWireTORONTO, May 22, 2013TORONTOCompany: Mantis Mineral Corp.CNSX Symbol: MYNResumption: 2:30 PM ETThe Investment Industry Regulatory Organization of CanadaSOURCE: Investment Industry Regulatory Organization of Canada (IIROC) ... [Published Digital Journal - 15 hours ago]
First reported May 21 2013 - Updated May 22 2013 - 1 reports

Reservoir Capital Corp.: Concession Contract Completed for Cehotina Hydroelectic Project in Bosnia

Since completing a Pre-Feasibility Study on the project in 2010, the Company has acquired additional flow data and is currently engaged in optimization studies on the project, in addition to general preparatory works ahead of embarking on Feasibility ... [Published Interest!ALERT - May 21 2013]
First reported May 21 2013 - Updated May 21 2013 - 1 reports

Consider risks when posting third-party content

Advisors should use extreme caution when posting third-party content on social media sites, says Joe Yassi, vice-president, business conduct compliance, at Investment Industry Regulatory Organization of Canada."When providing third-party content, there ... [Published Investment Executive - May 21 2013]
First reported May 21 2013 - Updated May 21 2013 - 1 reports

Top 20 Largest Consolidated Short Position Report - May 15, 2013

Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period endingMay 15th, 2013.TSX Datalinx collects ... [Published TMX Group - May 21 2013]
First reported May 21 2013 - Updated May 21 2013 - 2 reports

Enforcement Notice - IN THE MATTER OF John Winston Lang - Settlement Hearing

Canada NewsWireVANCOUVER, May 21, 2013VANCOUVERThe Agreement concerns an allegation that Mr. Lang failed to adequately supervise Registered Representative Marco MyatovicThe hearing is not open to the public, but will become open in the event that the ... [Published Digital Journal - May 21 2013]
First reported May 21 2013 - Updated May 21 2013 - 1 reports

Rep banned for misappropriating funds

, a hearing panel of the Investment Industry Regulatory Organization of Canada found Shelley Blanchard transferred funds out of a client’s account without the client’s knowledge or consent.According to IIROC’s decision document, enforcement counsel discussed ... [Published Advisor.ca - May 21 2013]

Quotes

"When providing third-party content, there are a number of issues that need to be considered. [For instance,] does a hyperlink to a third-party website create exposure? And has there been pre-approval of the third party content?" says Yassi at the recent Investment Industry Association of Canada (IIAC) Social Media Conference in Toronto
Consider risks when posting third-party content [Published Investment Executive - May 21 2013]
In regards to not fining the former rep, IIROC's decision statement says: "The submissions of the enforcement counsel as to the way this matter has proceeded, including the personal circumstances of the respondent [Blanchard], lead the panel to conclude that under these limited circumstances and not as a precedent that no fine is entirely appropriate."
Former rep permanently banned [Published Investment Executive - May 17 2013]
...7 MW of consumed power. The PFS assumes power will be generated on-site with medium fuel oil ( "MFO') generators at a cost of $0.15 per kilowatt hour. Alternative power options are available to the Project and will be considered in more detail during the DFS."
Asanko's Pre-Feasibility Study Confirms Robust Project Economics for Esaase Gold Project [Published Noodls - May 14 2013]
"We have had common law evolving with respect to what is a fiduciary obligation for years and in that evolution it has always been clear and consistent" said Laura Paglia, partner, Torys LLP
Laura Paglia comments on fiduciary obligation in Investment Executive [Published Torys - May 10 2013]

More Content

All (280) | News (238) | Reports (1) | Blogs (4) | Audio/Video (0) | Fact Sheets (1) | Press Releases (36)
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Legend Power grants stock options, announces ch... [Published Stockhouse Canada - 11 hours ago]
Legend Power grants stock options, announces ch... [Published Individual.com - 11 hours ago]
Legend Power grants stock options, announces ch... [Published Canada NewsWire - 11 hours ago]
IIROC Trading Resumption - CCC [Published Digital Journal - 13 hours ago]
BCSC Alleges Fraud and Illegal Distributions Ag... [Published Market Wire - 13 hours ago]
IIROC Trade Resumption - CRQ [Published Digital Journal - 15 hours ago]
IIROC Trading Halt - CRQ [Published Digital Journal - 15 hours ago]
CRS Electronics Announces Resignation of CFO [Published FinanzNachrichten.de - 15 hours ago]
IIROC Trade Resumption - MYN [Published Digital Journal - 15 hours ago]
IIROC Trading Resumption - TEI [Published Digital Journal - 21 hours ago]
Consider risks when posting third-party content [Published Investment Executive - May 21 2013]
Reservoir Capital Corp.: Concession Contract Co... [Published Interest!ALERT - May 21 2013]
Top 20 Largest Consolidated Short Position Repo... [Published TMX Group - May 21 2013]
Enforcement Notice - IN THE MATTER OF John Wins... [Published Digital Journal - May 21 2013]
Enforcement Notice - IN THE MATTER OF John Wins... [Published Canada NewsWire - May 21 2013]
Rep banned for misappropriating funds [Published Advisor.ca - May 21 2013]
Med BioGene does not say why trading activity up [Published Stockwatch - May 18 2013]
Med BioGene Inc. Comments on Market Activity [Published Market Wire - May 18 2013]
Former rep permanently banned [Published Investment Executive - May 17 2013]
Wellstar does not say why share price is up [Published Stockwatch - May 17 2013]
WellStar Energy Announces No Material Change [Published Market Wire - May 17 2013]
WellStar Energy Announces No Material Change [Published Marketwire - Breaking News Releases - May 17 2013]
IIROC Trading Resumption - CRD [Published Digital Journal - May 17 2013]
Enforcement Notice - IN THE MATTER OF Shelley B... [Published Canada NewsWire - May 17 2013]
IIROC Cover-Up Leads to $52 Million Class-Actio... [Published SBWire - May 17 2013]
Let the IIROC show you how to handle Canada’s c... [Published Terrapinn - May 16 2013]
IIROC Trading Resumption - TAR [Published Digital Journal - May 16 2013]
Golds Long-Term Uptrend is still Intact! [Published GoldSeek.com - May 16 2013]
IIROC Trading Resumption - MOB.UN, MOB.DB [Published Digital Journal - May 16 2013]
Eurasian Minerals Announces First Quarter 2013 ... [Published PR inside - May 16 2013]
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Edward Smith, David Berry, Ian Russell, [more]
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CNW Group, Toronto stock exchange, CANADA INC., [more]
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United Nations, P.E.A.K, Bank of Canada, [more]
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Trading Halt, Asset-Backed Commercial Paper, Suspension, [more]
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BlackBerry, iPad Mini, S&P 500, [more]
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Vancouver, Toronto, Montreal, [more]
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Canada, United States, United Kingdom, [more]
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Enviromental exploitation, Metals & Minerals, White-Collar Crime, [more]
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Insurance, IT, Mining & Metals, [more]
Digital Journal, Financial Post - Top Stories, Investment Executive, [more]
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Blogs

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Frontrunning: April 29 [Published Zero Hedge - Apr 29 2013]
Gold Bears Defy Rally as Goldman Closes Short Wager ( BBG ) Still stuck on central-bank life support ( Reuters ) Ebbing Inflation Means More Easy Money ( BBG ) So much for socialist wealth redistribution then? François Hollande to woo French business ...
E.F. Hutton emerges as rare new player in Canad... [Published Financial Post | Business » Entrepreneur - Mar 11 2013]
Behind the scenes of Canada’s securities industry, an ambitious new brokerage is taking form, bearing a storied name and a host of finance veterans. E.F. Hutton Canada Holdings Ltd. could become the country’s newest investment dealer once it goes through ...
E.S.I. Environmental Sensors Inc.: Unaware of A... [Published EnviroLib - Jan 19 2013]
VICTORIA, BRITISH COLUMBIA–(Marketwire – Jan. 18, 2013) - At the request of IIROC (Investment Industry Regulatory Organization of Canada), E.S.I. Environmental Sensors Inc. (“ESI” or the “Company”) (TSX VENTURE:ESV) wishes to confirm that the Company’s ...
Two law firm lawyers on OSC’s new Registrant Ad... [Published Financial Post | Business » Legal Post - Dec 13 2012]
Prema Thiele of Borden Ladner Gervais and Kevin Cohen of AUM Law Professional Corporation have been appointed to the Ontario Securities Commission’s newly-announced 12-member  Registrant Advisory Committee . The RAC will serve as a forum to discuss ...
1

Press Releases

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WellStar Energy Announces No Material Change [Published Marketwire - Breaking News Releases - May 17 2013]
Eurasian Minerals Announces First Quarter 2013 ... [Published PR inside - May 16 2013]
Enforcement Notice - IN THE MATTER OF Glenn Art... [Published Financial Services - May 10 2013]
Enforcement Notice - IN THE MATTER OF Roger Mic... [Published PR Newswire - May 08 2013]
Enforcement Notice - IN THE MATTER of Reginald ... [Published Financial Services - Apr 26 2013]
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