VANCOUVER, Aug. 31 /CNW/ - Notice is hereby given that a hearing will be
held before a Hearing Panel of the Investment Industry Regulatory Organization
of Canada (IIROC), on Wednesday, November 4, 2009, at Reportex Agencies Ltd.,
located at 925 West Georgia Street, Suite 1010, Vancouver, BC, at 10:00 a.m.
or as soon thereafter as possible, to hear evidence and submissions in the
matter of David Kenneth Smith (the Respondent).
The hearing concerns matters for which the Respondent may be disciplined
as a Regulated Person of IIROC, pursuant to Part 10 of IIROC Dealer Member
The hearing concerns allegations that on or about May 26, 2009, the
Respondent refused and/or failed to attend and give information in respect of
an IIROC investigation into his conduct, contrary to IIROC Dealer Member Rules
19.5 and/or 29.1.
IIROC formally initiated the investigation into the Respondent's conduct
on July 31, 2008. The Respondent is no longer a registrant with any
The Notice of Hearing is available at www.iiroc.ca.
The hearing is open to the public, unless the Hearing Panel orders
otherwise. The Hearing Panel's decision and reasons will be made available to
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
For further information:
For further information: Warren Funt, Vice President, Western Canada,
(604) 331-4750, firstname.lastname@example.org; Jeff Kehoe, Director, Enforcement, (416)