Enforcement Notice - Decision - IN THE MATTER OF Dwight Cameron Mann - Review Decision

VANCOUVER, BC, Nov. 16, 2021 /CNW/ - The British Columbia Securities Commission (BCSC) has reviewed the IIROC Hearing Panel Sanction Decision dated November 21, 2020, in the matter of Dwight Cameron Mann.

In its decision, released November 3, 2021, the BCSC confirmed the sanction imposed by the IIROC Hearing Panel and dismissed the application for a hearing and review brought by IIROC Staff.

The BCSC's decision is available at: Re Mann, 2021 BCSECCOM 429

The IIROC Hearing Panel's Sanction Decision is available at: Re Mann, 2020 IIROC 43

Further information about the BCSC review can be found at: Mann, Dwight Cameron

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All information about disciplinary proceedings relating to current and former member firms is available in the Enforcement section of the IIROC website.

Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by IIROC-regulated firms is available free of charge through the IIROC AdvisorReport service. Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1 877 442-4322.

IIROC investigates possible misconduct by its member firms and/or individual registrants. It can bring disciplinary proceedings which may result in penalties including fines, suspensions, permanent bars, expulsion from membership, or termination of rights and privileges for individuals and firms.

IIROC is the pan-Canadian self-regulatory organization that oversees all investment dealers and their trading activity in Canada's debt and equity markets. IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while supporting healthy Canadian capital markets. IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of 174 Canadian investment dealer firms of varying sizes and business models, and their more than 31,000 registered employees. IIROC also sets and enforces market integrity rules regarding trading activity on Canadian debt and equity marketplaces. For more information, visit www.iiroc.ca.

SOURCE Investment Industry Regulatory Organization of Canada (IIROC) - General News

Enforcement Contact: Richard Korble, Vice President, Western Canada, 403-260-6278, [email protected] | Media Contact: Julia Mackenzie, Public Affairs Specialist, 416-786-1650, [email protected]

Related Links

www.iiroc.ca