VANCOUVER, Sept. 25 /CNW/ - Notice is hereby given that a Motion will be heard by a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), on Wednesday, September 30, 2009, at UBC Robson Square, 800 Robson Street, Vancouver, British Columbia, at 10:00 a.m., or as soon thereafter as the Motion can be heard, in the matter of Carolann Steinhoff (the Respondent).
The Motion is being brought by the Respondent to compel a third party, Wellington West Capital Inc. (Wellington), to disclose certain documents and information which may be possessed by Wellington which the Respondent claims are required to make full answer and defense to a proceeding which has been commenced (see Enforcement Notice 09-0269 at http://docs.iiroc.ca/DisplayDocument.aspx?DocumentID=FA63E94FA2A347B1B38FE4BDF6F202A1&Language=en.)
The hearing of the Motion is open to the public, unless the Hearing Panel orders otherwise. The Hearing Panel's decision and reasons will be made available to the public.
IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. Created in 2008 through the consolidation of the Investment Dealers Association of Canada and Market Regulation Services Inc., IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets. IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.
SOURCE Investment Industry Regulatory Organization of Canada (IIROC) - General News
For further information: For further information: Warren Funt, Vice President, Western Canada, (604) 331-4750, firstname.lastname@example.org; Jeff Kehoe, Director, Enforcement, (416) 943-6996, email@example.com