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Canada - November 3 2011
The vast majority of concluded regulatory enforcement cases at the Ontario Securities Comission (OSC) and the Investment Industry Regulatory Organization of Canada (IIROC) in the ten years from 2000-2009 inclusive resulted in a settlement, as opposed to an adjudication following a contested hearing.
Canada - August 29 2011
On June 7, 2011, IIROC published on its website a Notice and News Release in the Matter of Kenneth Nott, Aidin Sadeghi, Christopher Kaplan, Robert Nemy and Jake Poulstrup regarding Sanctions Reasons and Decision issued by an IIROC Hearing Panel of the Ontario District Council.
Canada - February 8 2011
What has been completely overlooked in all the battling over the issue of a national securities regulator is how the dealers and persons who actually distribute and trade in securities on behalf of retail, coporate and institutional investors are regulated.
