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

Date Opened:
Hearing Type:
Hearing pending
Please Note:
IIROC has requested a review of an IIROC hearing panel liability decision, dated February 23, 2017. The Commission will set a date for the hearing after the IIROC panel has made its decision on penalty.

Notices & Decisions

Date Issued Document Type Description
2017-03-29 Request for review Notice of application by IIROC for review of the IIROC hearing panel's decision dated February 23, 2017.