VANCOUVER, June 24 /CNW/ - Following a motion hearing held on June 3 and June 16, 2010, in Vancouver, British Columbia, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) dismissed an application by Carolann Steinhoff (the Respondent), which sought to:
1. Prohibit the publication or release of information or documents
related to an IIROC disciplinary proceeding, in particular a Notice
of Hearing and Particulars; and
2. Strike out the Particulars contained in the Notice of Hearing.
The Hearing Panel's Decision and Reasons, which were issued on June 23, 2010, are available at: http://docs.iiroc.ca/DisplayDocument.aspx?DocumentID=D49B259D8D6B47319473F0FA0B82C6AE&Language=en
The underlying hearing which concerns matters for which the Respondent may be disciplined as an Approved Person of IIROC, pursuant to Part 10 of IIROC Dealer Member Rule 20 will commence on Tuesday August 3, 2010. Details of that proposed hearing are set out in Enforcement Notice 10-0186.
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 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, email@example.com; Jeff Kehoe, Acting Vice President, Enforcement, 416 943.6996, firstname.lastname@example.org