Enforcement Notice - Decision - IN THE MATTER OF Shirley Locke - Locke Appeal Dismissed Français
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Investment Industry Regulatory Organization of Canada (IIROC) - General NewsApr 19, 2022, 14:00 ET
HALIFAX, NS, April 19, 2022 /CNW/ - On February 16, 2022, the Nova Scotia Court of Appeal (NSCA) reviewed the decision of the Nova Scotia Securities Commission (NSSC) dated June 24, 2021, regarding IIROC Hearing Panel Decisions dated May 28, 2020, August 7, 2020, and August 8, 2020.
The NSCA released its decision on April 12, 2022 and ordered that Locke's appeal be dismissed without costs.
The NSCA's decision is available at:
Nova Scotia Court of Appeal - Locke, Shirley
The NSSC's decision can be found at:
Nova Scotia Securities Commission - Locke, Shirley
The IIROC Hearing Panel's decisions can be found at:
Investment Industry Regulatory Organization of Canada - Locke, Shirley
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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:, Andrew P. Werbowski, Director, Enforcement Litigation, 416-943-5789, [email protected]; Media Contact: Julia Mackenzie, Public Affairs Specialist, 416-786-1650, [email protected]
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