Investment Industry Regulatory Organization of Canada

CSE Bulletin: Halted for Fundamental Change - Pure Extracts Technologies Corp. (PULL)

Retrieved on: 
Friday, May 26, 2023
Investment Industry Regulatory Organization of Canada, CSE, Politique, Exchange, Universal Market Integrity Rules, Market, Documentation, Commerce, Policy, News, Security (finance)

Toronto, Ontario--(Newsfile Corp. - Le 26 mai/May 2023) - Trading in the shares of Pure Extracts Technologies Corp. will remain halted pending receipt and review of acceptable documentation regarding the Fundamental Acquisition pursuant to CSE Policy 8.

Key Points: 
  • Toronto, Ontario--(Newsfile Corp. - Le 26 mai/May 2023) - Trading in the shares of Pure Extracts Technologies Corp. will remain halted pending receipt and review of acceptable documentation regarding the Fundamental Acquisition pursuant to CSE Policy 8.
  • This regulatory halt is imposed by Investment Industry Regulatory Organization of Canada, the Market Regulator of the Exchange, pursuant to the provisions of Section 10.9(1) of the Universal Market Integrity Rules.
  • La négociation des actions de Pure Extracts Technologies Corp. restera suspendue en attendant la réception et l'examen de documents acceptables concernant l'acquisition fondamentale conformément à la politique 8 du CSE.
  • Veuillez consulter le communiqué de presse de l'émetteur pour plus de détails.

CSE Bulletin: Halted for Fundamental Change - First Responder Technologies Inc. (WPN)

Retrieved on: 
Thursday, May 25, 2023
Investment Industry Regulatory Organization of Canada, CSE, Politique, Exchange, Universal Market Integrity Rules, First, Market, Documentation, Commerce, Policy, Security (finance)

Toronto, Ontario--(Newsfile Corp. - le 25 mai/May 2023) - Trading in the shares of First Responder Technologies Inc. will remain halted pending receipt and review of acceptable documentation regarding the Fundamental Acquisition pursuant to CSE Policy 8.

Key Points: 
  • Toronto, Ontario--(Newsfile Corp. - le 25 mai/May 2023) - Trading in the shares of First Responder Technologies Inc. will remain halted pending receipt and review of acceptable documentation regarding the Fundamental Acquisition pursuant to CSE Policy 8.
  • This regulatory halt is imposed by Investment Industry Regulatory Organization of Canada, the Market Regulator of the Exchange, pursuant to the provisions of Section 10.9(1) of the Universal Market Integrity Rules.
  • La négociation des actions de First Responder Technologies Inc. restera interrompue en attendant la réception et l'examen de documents acceptables concernant l'acquisition fondamentale conformément à la politique 8 du CSE.
  • Veuillez consulter le communiqué de presse de l'émetteur pour plus de détails.

CSE Bulletin: Halted for Fundamental Change - Cashbox Ventures Ltd. (CBOX.X)

Retrieved on: 
Wednesday, May 24, 2023
Investment Industry Regulatory Organization of Canada, CSE, Universal Market Integrity Rules, Politique, Exchange, Market, Documentation, Commerce, Policy, News, Security (finance)

Toronto, Ontario--(Newsfile Corp. - Le 24 mai/May 2023) - Trading in the shares of Cashbox Ventures Ltd. will remain halted pending receipt and review of acceptable documentation regarding the Fundamental Acquisition pursuant to CSE Policy 8.

Key Points: 
  • Toronto, Ontario--(Newsfile Corp. - Le 24 mai/May 2023) - Trading in the shares of Cashbox Ventures Ltd. will remain halted pending receipt and review of acceptable documentation regarding the Fundamental Acquisition pursuant to CSE Policy 8.
  • This regulatory halt is imposed by Investment Industry Regulatory Organization of Canada, the Market Regulator of the Exchange, pursuant to the provisions of Section 10.9(1) of the Universal Market Integrity Rules.
  • La négociation des actions de Cashbox Ventures Ltd. restera suspendue en attendant la réception et l'examen de documents acceptables concernant l'acquisition fondamentale conformément à la politique 8 du CSE.
  • Veuillez consulter le communiqué de presse de l'émetteur pour plus de détails.

CSE Bulletin: Halted for Fundamental Change - Cypher Metaverse Inc. (CODE)

Retrieved on: 
Tuesday, May 23, 2023
Metaverse, Investment Industry Regulatory Organization of Canada, CSE, Universal Market Integrity Rules, Politique, Exchange, Market, Documentation, Commerce, Policy, News, Security (finance)

Toronto, Ontario--(Newsfile Corp. - Le 23 mai/May 2023) - Trading in the shares of Cypher Metaverse Inc. will remain halted pending receipt and review of acceptable documentation regarding the Fundamental Acquisition pursuant to CSE Policy 8.

Key Points: 
  • Toronto, Ontario--(Newsfile Corp. - Le 23 mai/May 2023) - Trading in the shares of Cypher Metaverse Inc. will remain halted pending receipt and review of acceptable documentation regarding the Fundamental Acquisition pursuant to CSE Policy 8.
  • This regulatory halt is imposed by Investment Industry Regulatory Organization of Canada, the Market Regulator of the Exchange, pursuant to the provisions of Section 10.9(1) of the Universal Market Integrity Rules.
  • La négociation des actions de Cypher Metaverse Inc. restera suspendue en attendant la réception et l'examen de documents acceptables concernant l'acquisition fondamentale conformément à la politique 8 du CSE.
  • Veuillez consulter le communiqué de presse de l'émetteur pour plus de détails.

Enforcement Notice - Hearing - New SRO to Hold a Settlement Hearing for Blaine Patrick Arnold

Retrieved on: 
Wednesday, May 24, 2023
Agreement, The central science, Investment Industry Regulatory Organization of Canada, Organization, Mutual Fund Dealers Association, Branch manager, Settlement, Collection, Investment, Supervisor, Hearing, Indian Residential Schools Settlement Agreement, Setter Capital Inc, Enforcement, Respondent, Security (finance), Property management, IIROC, Saskatoon

The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.

Key Points: 
  • The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.
  • If the agreement is accepted, the panel's decision and the Settlement Agreement will be made available at www.iiroc.ca .
  • Hearing Date: The hearing will be held by a way of videoconference on June 6, 2023, at 11:00 a.m. CT.
  • The Notice of Application announcing the settlement hearing is available at:
    The Investment Dealer Division formally initiated the investigation into Mr. Arnold's conduct in March 2021.

Enforcement Notice - Hearing - New SRO to Hold a Settlement Hearing for Blaine Patrick Arnold

Retrieved on: 
Wednesday, May 24, 2023
Agreement, The central science, Investment Industry Regulatory Organization of Canada, Organization, Mutual Fund Dealers Association, Branch manager, Settlement, Collection, Investment, Supervisor, Hearing, Indian Residential Schools Settlement Agreement, Setter Capital Inc, Enforcement, Respondent, Security (finance), Property management, IIROC, Saskatoon

The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.

Key Points: 
  • The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.
  • If the agreement is accepted, the panel's decision and the Settlement Agreement will be made available at www.iiroc.ca .
  • Hearing Date: The hearing will be held by a way of videoconference on June 6, 2023, at 11:00 a.m. CT.
  • The Notice of Application announcing the settlement hearing is available at:
    The Investment Dealer Division formally initiated the investigation into Mr. Arnold's conduct in March 2021.

Enforcement Notice - Hearing - New SRO to Hold Disciplinary Hearing for Robert Weston Crocker

Retrieved on: 
Thursday, May 18, 2023
The central science, Investment Industry Regulatory Organization of Canada, Organization, PRO, EST, Mutual Fund Dealers Association, Client, Investment, Hearing, Enforcement, Respondent, Security (finance), Financial adviser, Property management, IIROC

TORONTO, May 18, 2023 /CNW/ - An initial appearance has been scheduled before a hearing panel of the Investment Dealer Division of the New Self-Regulatory Organization of Canada (New SRO) for the purpose of setting a date for the disciplinary hearing in the matter of Robert Weston Crocker.

Key Points: 
  • TORONTO, May 18, 2023 /CNW/ - An initial appearance has been scheduled before a hearing panel of the Investment Dealer Division of the New Self-Regulatory Organization of Canada (New SRO) for the purpose of setting a date for the disciplinary hearing in the matter of Robert Weston Crocker.
  • The initial appearance is open to the public, unless the hearing panel orders otherwise.
  • The date for the disciplinary hearing will be made available at www.iiroc.ca .
  • The Notice of Hearing and Statement of Allegations which sets out the allegations is available at:
    The Investment Dealer Division of New SRO formally initiated the investigation into Mr. Crocker's conduct in June 2021.

Enforcement Notice - New SRO to Hold a Settlement Hearing for Robert Barber

Retrieved on: 
Thursday, May 18, 2023
The central science, Indian Residential Schools Settlement Agreement, Investment Industry Regulatory Organization of Canada, Organization, Mutual Fund Dealers Association, Settlement, Investment, Hearing, Enforcement, Security (finance), Property management, IIROC

The Settlement Agreement relates to allegations that Barber failed to fulfill his gatekeeper responsibilities.

Key Points: 
  • The Settlement Agreement relates to allegations that Barber failed to fulfill his gatekeeper responsibilities.
  • The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.
  • If the agreement is accepted, the panel's decision and the Settlement Agreement will be made available at www.iiroc.ca .
  • The Investment Dealer Division of New SRO formally initiated the investigation into Barber's conduct in April 2019.

Investor Alert: EasyCrypto4U

Retrieved on: 
Wednesday, May 17, 2023
Investment Industry Regulatory Organization of Canada, Organization, Canadian Securities Administrators, CSA, Canadian Anti-Fraud Centre, IIROC, Cryptocurrency, Security (finance), Financial adviser

TORONTO, May 17, 2023 /CNW/ - New Self-Regulatory Organization of Canada (New SRO) is warning Canadian investors not to be fooled by EasyCrypto4U.

Key Points: 
  • TORONTO, May 17, 2023 /CNW/ - New Self-Regulatory Organization of Canada (New SRO) is warning Canadian investors not to be fooled by EasyCrypto4U.
  • All investors must be informed and ask themselves important questions before purchasing higher-risk investment products that do not trade on stock exchanges.
  • Investors should know that unregulated crypto-asset trading platforms are different from regulated marketplaces and may be missing key investor protections.
  • Registered investment firms are regulated, and individuals must meet our high standards and deal fairly, honestly and in good faith with Canadian investors.

Enforcement Notice - Decision - New SRO Sanctions Martin Danielak

Retrieved on: 
Tuesday, May 16, 2023
Communication, The central science, Coup d'État: A Practical Handbook, Indian Residential Schools Settlement Agreement, Investment Industry Regulatory Organization of Canada, Organization, Vexatious litigation, Mutual Fund Dealers Association, Conduct, Sale, Settlement, Corporation, Investment, Enforcement, Respondent, Security (finance), Financial adviser, Property management, IIROC

VANCOUVER, BC, May 16, 2023 /CNW/ - On May 10, 2023 a hearing panel of the Investment Dealer Division of the New Self-Regulatory Organization of Canada (New SRO) accepted a Settlement Agreement, with sanctions, between Enforcement Staff and Martin Danielak.

Key Points: 
  • VANCOUVER, BC, May 16, 2023 /CNW/ - On May 10, 2023 a hearing panel of the Investment Dealer Division of the New Self-Regulatory Organization of Canada (New SRO) accepted a Settlement Agreement, with sanctions, between Enforcement Staff and Martin Danielak.
  • Mr. Danielak also agreed to pay costs in the amount of $2,500.
  • This case was resolved by Early Resolution Offer, which granted a 30% reduction on the fine Enforcement Staff otherwise would have sought.
  • The Settlement Agreement is available at:
    The Investment Dealer Division formally initiated the investigation into Mr. Danielak's conduct in June 2020.