Enforcement Notice - Hearing - IIROC Seeks OSC Review of Penalty Decision In the Matter Of Former First Leaside CFO Brian Michael Sutton Français
TORONTO, March 16, 2018 /CNW/ - On March 7, 2018, IIROC Staff and Brian Michael Sutton each filed Applications for Hearing and Review to the Ontario Securities Commission seeking a review of an IIROC Hearing Panel decision dated January 31, 2018, in the matter of Brian Michael Sutton. Mr. Sutton is also seeking a review of the IIROC Hearing Panel's decision dated July 5, 2017.
The decisions of the IIROC Hearing Panel are available at:
Further information about the review can be found at:
OSC – Amended Application: In the Matter of Brian Michael Sutton
OSC – Notice of Hearing: In the Matter of Brian Michael Sutton
Documents related to ongoing IIROC enforcement proceedings – including Reasons and Decisions of Hearing Panels – are posted on the IIROC website as they become available. Click here to search and access all IIROC enforcement documents.
IIROC is the national self-regulatory organization which 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 dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.
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.
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.
SOURCE Investment Industry Regulatory Organization of Canada (IIROC) - General News
Enforcement Contact: Charles Corlett, Director, Enforcement Litigation, 416 646-7253, [email protected]; Media Contact: Andrea Zviedris, Manager, Media Relations, 416 943-6906, [email protected]
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