Le Lézard
Classified in: Business
Subject: LAW

Enforcement Notice - Hearing - Disciplinary Hearing In The Matter of TD Waterhouse Canada Inc. Adjourned


TORONTO, Aug. 23, 2019 /CNW/ - A disciplinary hearing originally scheduled to commence on September 9, 2019 before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter of TD Waterhouse Canada Inc. has been adjourned to a date to be determined. 

The hearing concerns allegations that:

(a)

Since December 31, 2015, TD Waterhouse Canada Inc. has failed to include position cost information within the quarterly client account statements for certain securities positions, contrary to the position cost calculation and disclosure requirements set out in clauses 200.2(d)(ii)(F) of Rule 200

IIROC formally initiated the investigation into TD Waterhouse Canada Inc.'s conduct in April 2017. TD Waterhouse Canada Inc. is an IIROC-regulated firm.

The hearing is open to the public, unless the Hearing Panel orders otherwise. The decision of the Hearing Panel will be made available at www.iiroc.ca.

Hearing Date:

To be determined



Location:

IIROC - 121 King Street West, Suite 2000, Toronto, Ontario

The Notice of Hearing and Statement of Allegations which sets out the allegations is available at:
TD Waterhouse Canada Inc. - Notice of Hearing and Statement of Allegations

Documents related to ongoing IIROC enforcement proceedings ? including Reasons and Decisions of Hearing Panels ? are posted on the IIROC website as they become available. Click here to search and access all IIROC enforcement documents.

*  *  *

IIROC is the national self-regulatory organization that oversees all investment dealers and their trading activity in Canada's debt and equity markets. IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while supporting healthy Canadian capital markets. IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of more than 170 Canadian investment dealer firms and their more than 29,000 registered employees, the majority of whom are commonly referred to as investment advisors. IIROC also sets and enforces market integrity rules regarding trading activity on Canadian debt and equity marketplaces.

IIROC investigates possible misconduct by its member firms and/or individual registrants. It can bring disciplinary proceedings which may result in penalties including fines, suspensions, permanent bars, expulsion from membership, or termination of rights and privileges for individuals and firms.

All information about disciplinary proceedings relating to current and former member firms is available in the Enforcement section of the IIROC website. Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by IIROC-regulated firms is available free of charge through the IIROC AdvisorReport service. Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1 877 442-4322.

SOURCE Investment Industry Regulatory Organization of Canada (IIROC) - General News


These press releases may also interest you

at 11:42
Navajo Gaming Honors 186 Team Members for Employee Milestones
This month The Navajo Nation Gaming Enterprise (Navajo Gaming) honored 186 of its total 1,200 team members for reaching significant employment milestones including 15, 10 and 5 years of service for the enterprise. The event at Twin Arrows Navajo...

at 11:39
LENNAR NOW SELLING THREE NEW-HOME COLLECTIONS AT JUNIPERS, SAN DIEGO'S RESORT-STYLE COMMUNITY FOR ACTIVE ADULTS AGED 55 AND BETTER
Lennar, one of the nation's leading homebuilders, is now selling at three stunning home collections within Junipers, a masterplanned community for active adults in San Diego. Homeowners at the age-qualified gated community will enjoy resort-style...

at 11:31
Notice - KALLO INC., JOHN CECIL and SAMUEL PYO, File No. 2023-12
The Tribunal issued an Order in the above-named matter. A copy of the Order dated April 26, 2024 is available at capitalmarketstribunal.ca Registrar, Governance & Tribunal SecretariatOntario Securities Commission SOURCE Ontario Securities...

at 11:30
Kellanova Declares Regular Dividend of $0.56 per Share for Second Quarter and Announces Plans for Dividend Increase in Third Quarter
Kellanova today announced that its Board of Directors declared a dividend of $0.56 per share on the common stock of Kellanova, payable on June 14, 2024, to shareowners of record at the close of business on June 3, 2024.  The ex-dividend date is June...

at 11:28
Shareholder Alert: Ademi LLP investigates whether U.S. Silica Holdings, Inc. has obtained a Fair Price in its transaction with Apollo
Ademi LLP is investigating U.S. Silica for possible breaches of fiduciary duty and other violations of law in its transaction with Apollo....

at 11:15
SHAREHOLDER ACTION ALERT: The Schall Law Firm Encourages Investors in Compass Minerals International, Inc. with Losses to Contact the Firm
The Schall Law Firm, a national shareholder rights litigation firm, reminds investors of a class action lawsuit against Compass Minerals International, Inc. ("Compass Minerals" or "the Company") for violations of §§10(b) and 20(a) of the Securities...

More news about Business...


News published on and distributed by: