Le Lézard
Classified in: Business
Subject: LAW

Enforcement Notice - Decision - IIROC Withdraws Allegation Against Gerald Douglas McRae


TORONTO, Sept. 22, 2021 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) is withdrawing the allegation of a regulatory contravention against Gerald Douglas McRae. IIROC's decision was based upon a reassessment of the case. 

The withdrawn allegations are outlined in the Notice dated June 16, 2020.

*  *  *

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.

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.

IIROC is the pan-Canadian 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 174 Canadian investment dealer firms of varying sizes and business models, and their more than 31,000 registered employees. IIROC also sets and enforces market integrity rules regarding trading activity on Canadian debt and equity marketplaces. For more information,visit www.iiroc.ca.

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


These press releases may also interest you

at 00:00
Health Carousel Introduces Innovative 'Full Circle of Support' Program to Elevate Employee Well-Being
Health Carousel, renowned for its dedication to enhancing the healthcare staffing sector, today unveiled its groundbreaking 'Full Circle of Support' program. This initiative represents a significant investment in the total well-being of its...

at 00:00
QuantumWork Advisory, an Allegis Group Company, Acquires Talent Tech Labs
QuantumWork Advisory, a specialized global workforce advisory and transformation firm, has acquired Talent Tech Labs (TTL), a world-class research firm renowned for its in-depth understanding of the evolving workforce technology landscape. This...

17 avr 2024
WFES 2024: Sungrow Showcases its Advanced All-Scenario Renewable Energy Solutions in Abu Dhabi
Sungrow, the global leading PV inverter and energy storage system provider, exhibited its cutting-edge and comprehensive renewable energy solutions at the World Future Energy Summit (WFES) 2024. Notably, Sungrow has achieved a remarkable milestone by...

17 avr 2024
Advantech Collaborates with Phison to Develop GenAI Computing Platform for Edge and Industrial Applications
The emergence of Generative AI (GenAI) has led to the widespread use of AI assistants across various sectors including business environments, education, healthcare, legal and accounting fields, banking, and even migration into embedded and industrial...

17 avr 2024
TSX Venture Exchange Stock Maintenance Bulletins
TSX VENTURE COMPANIES BULLETIN V2024-1116 C-COM SATELLITE SYSTEMS INC.  ("CMI")BULLETIN TYPE:  Declaration of DividendBULLETIN DATE:  April 17, 2024TSX Venture Tier 1 Company The Issuer has declared the following dividend:  Dividend per Share: ...

17 avr 2024
ROSEN, THE FIRST FILING FIRM, Encourages Ocugen, Inc. Investors to Secure Counsel Before Important Deadline in Securities Class Action First Filed by the Firm - OCGN
WHY: Rosen Law Firm, a global investor rights law firm, announces it has filed a class action lawsuit on behalf of purchasers of securities of Ocugen, Inc. between May 8, 2020 and April 1, 2024, both dates inclusive (the "Class Period"). A class...

More news about Business...


News published on and distributed by: