VANCOUVER, Nov. 5 /CNW/ - After hearing a motion on September 30, 2009, in Vancouver, BC, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) ordered a third party, Wellington West Capital Inc. (Wellington) to produce to Carolann Steinhoff (the Respondent) certain documents and information possessed by Wellington which the Respondent claimed were required to make full answer and defense to a proceeding which has been commenced.
Some of the documents and information Wellington was ordered to produce are set out in an Order dated October 3, 2009, available at www.iiroc.ca. The remaining documents and information Wellington was ordered to produce are set out in the Hearing Panel's decision dated October 7, 2009, available at www.iiroc.ca.
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
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