Sept. 26, 2013
/CNW/ - On
August 29, 2013
Thi Sen Chher
filed an application to appeal with the Court of Québec, Administrative and Appeal Division, District of Hull, against the decision of the Bureau de décision et de révision (BDR) dated
July 31, 2013
. The decision of the BDR dismisses Mr. Chher's request for review and upholds the decisions of the Hearing Panel of the Investment Industry Regulatory Organization of
(IIROC) rendered on
August 12, 2011
January 27, 2012
The BDR's decision dated
July 31, 2013
is available at
Documents related to ongoing IIROC enforcement proceedings - including Reasons and Decisions of Hearing Panels - are posted on the IIROC website as they become available. Click
to search and access all IIROC enforcement documents.
IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in
. Created in 2008 through the consolidation of the Investment Dealers Association of
and Market Regulation Services Inc., IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets.
IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.
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.