TORONTO, Oct. 22 /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 Thursday, December 3, 2009 at Legal Transcript Services, 390 Bay Street, 11th floor, Suite 1102, Toronto, Ontario, at 10:00am, or as soon thereafter as possible, to determine the penalty to be imposed in the matter of Michael Leigh (the "Respondent").
The proposed hearing concerns matters for which the Respondent will be disciplined as a Registrant of the IDA, pursuant to Part 10 of IIROC Dealer Member Rule 20.
The IDA formally initiated the investigation into the Respondent's conduct on July 27, 2006. The violations occurred when the Respondent was a Registered Representative with the TD Waterhouse, Oshawa branch. The Respondent is no longer a registrant with an IIROC-regulated firm.
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: Alex Popovic, Vice President, Enforcement, (416) 943-6904, firstname.lastname@example.org; Jeff Kehoe, Director, Enforcement, (416) 943-6996, email@example.com