VANCOUVER
,
Dec. 14
/CNW/ - Notice is hereby given that the Investment Industry Regulatory Organization of
Canada
(IIROC) is withdrawing all allegations of regulatory contravention as described in Notice No.09-0082, dated
March 20, 2009
, for which
Robert John Oliver
may have been disciplined by IIROC.
A disciplinary hearing was scheduled to commence on
November 10, 2009
; however, in preparation for the hearing, IIROC reviewed evidence previously unknown to IIROC and determined it was not in the public interest to continue the proceeding against
Mr. Oliver
. Two other Approved Persons named in the same Notice of Hearing entered into Settlement Agreements which were accepted by a Hearing Panel on
November 10, 2009
.
IIROC formally initiated the investigation into
Mr. Oliver
's conduct on
January 27, 2005
.
Mr. Oliver
is no longer registered in any capacity with an IIROC Dealer Member.
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.
For further information: For further information: Warren Funt, Vice President, Western Canada, (604) 331-4750, [email protected]; Jeff Kehoe, Director, Enforcement, (416) 943-6996, [email protected]
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