Enforcement Notice - IN THE MATTER OF James Dugald MacArthur - Appearance to set a hearing date

TORONTO, Feb. 9, 2017 /CNW/ - An appearance has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) for the purpose of setting a date for the disciplinary hearing in the matter of James Dugald MacArthur.

The discipline hearing concerns allegations that Mr. MacArthur failed to co-operate with an IIROC investigation.  The set date appearance is open to the public, unless the Hearing Panel orders otherwise. The date for the discipline hearing will be made available at www.iiroc.ca.

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.

Set Date Appearance: 

March 27, 2017 at 10:00 a.m.


IIROC – Alberta Room

121 King Street West, Suite 2000

Toronto, ON


Specifically, the allegation is that:

From September to November 2016, Mr. MacArthur failed to co-operate with an IIROC investigation by failing to provide documents and attend a compelled interview, contrary to the IIROC Consolidated Enforcement, Examination and Approval Rules Section 8104.

IIROC formally initiated the investigation into Mr. MacArthur's conduct in May 2016. The alleged violation occurred while he was no longer a Registered Representative with an IIROC Dealer Member Firm, and he is currently not a registrant with an IIROC-regulated firm. 

The Notice of Hearing and Statement of Allegations which sets out the allegations is available at: http://docs.iiroc.ca/DisplayDocument.aspx?DocumentID=29BAA4A00DFE4E99B3A07045DDCD1C41&Language=en

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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

For further information: Enforcement Contact: Elsa-Renzella, Vice-President, Enforcement, 416 943-5877, erenzella@iiroc.ca; Media Contact: Karen Archer, Manager, Media Relations, 416 865-3046, karcher@iiroc.ca


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