Investment Industry Regulatory Organization of Canada; Alberto Tassone; Executive Director

Date Opened:
2017-03-30
Hearing Type:
Review
Status:
Hearing pending; Submissions pending
 
Hearing Dates:
2018-05-17;
Panel:
Nigel P Cave - Chair, George C. Glover, Suzanne K Wiltshire
Please Note:
IIROC has requested a review of an IIROC hearing panel's liability and sanction decisions dated February 23, 2017 and December 26, 2017 respectively. On May 17, 2018, the Panel heard the parties' submissions. The Panel's decision is due July 3, 2018.


Notices & Decisions

Date Issued Document Type Description
2018-05-11 Application Application dated 2017-02-23 from IIROC Application by IIROC for review of the IIROC hearing panel's liability decision dated February 23, 2017
2018-05-11 Application Application dated 2017-12-26 from IIROC Application by IIROC for review of the IIROC hearing panel's penalty decision dated December 26, 2017
2018-02-16 Notice Hearing Notice - Hearing Date, 2018 BCSECCOM 74
2018-01-29 Request for review Application by IIROC for review of the IIROC hearing panel's penalty decision dated December 26, 2017
2017-03-29 Request for review Application by IIROC for review of the IIROC hearing panel's liability decision dated February 23, 2017