Decisions
Golden Capital Securities Ltd. and Investment Industry Regulatory Organization of Canada [Decision]
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BCSECCOM #:
2009 BCSECCOM 192, 2009 BCSECCOM 192
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Document Type:
Decision
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Published Date:
2009-04-15
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Effective Date:
2009-04-09
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Details:
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2009 BCSECCOM 192
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2009 BCSECCOM 192
Golden Capital Securities Ltd.
Investment Industry Regulatory Organization of Canada
(formerly Investment Dealers Association of Canada)
Section 28 of the Securities Act, RSBC 1996, c. 418
Hearing and Review
Investment Industry Regulatory Organization of Canada
(formerly Investment Dealers Association of Canada)
Section 28 of the Securities Act, RSBC 1996, c. 418
Hearing and Review
Panel Brent W. Aitken Vice Chair
David J. Smith Commissioner
Suzanne K. Wiltshire Commissioner
Date of Hearing March 13, 2009
Date of Decision April 9, 2009
Appearing
Roger D. McConchie For Golden Capital Securities Ltd.
Alan McConchie
Robert W. Cooper For the Investment Industry Regulatory Organization of Canada
Joelle Walker
Bronwyn Turner For the Executive Director