Universal Market Integrity Rules

CSE Bulletin: Halted for Fundamental Change - Alchemist Mining Inc. (AMS.X)

Tuesday, September 21, 2021 - 8:58pm

Toronto, Ontario--(Newsfile Corp. - Le 21 septembre/September 2021) Trading in the shares of Alchemist Mining 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 21 septembre/September 2021) Trading in the shares of Alchemist Mining 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 ngociation des actions de Alchemist Mining Inc. restera interrompue en attendant la rception et l'examen des documents acceptables concernant l'acquisition fondamentale conformment la politique 8 du CSE .
  • Veuillez consulter le communiqu de presse des metteurs pour plus de dtails.

CSE Bulletin: Halted for Fundamental Change - Petro Viking Energy Inc. (VIK)

Monday, September 13, 2021 - 6:52pm

Toronto, Ontario--(Newsfile Corp. - Le 13 septembre/September 2021) Trading in the shares of Petro Viking Energy 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 13 septembre/September 2021) Trading in the shares of Petro Viking Energy 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 ngociation des actions de Petro Viking Energy Inc. restera interrompue en attendant la rception et l'examen des documents acceptables concernant l'acquisition fondamentale conformment la politique 8 du CSE .
  • Veuillez consulter le communiqu de presse des metteurs pour plus de dtails.

CSE Bulletin: Halted for Fundamental Change - Mansa Exploration Inc. (MANS)

Monday, August 16, 2021 - 8:52pm

Toronto, Ontario--(Newsfile Corp. - Le 16 aot/August 2021) Trading in the shares of Mansa Exploration 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 16 aot/August 2021) Trading in the shares of Mansa Exploration 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 ngociation des actions de Mansa Exploration Inc. restera suspendue en attendant la rception et l'examen de la documentation acceptable concernant l'acquisition fondamentale conformment la politique 8 du CSE.
  • Veuillez consulter le communiqu de presse de l'metteur pour plus de dtails.

CSE Bulletin: Halted for Fundamental Change - Canada House Wellness Group Inc. (CHV)

Monday, August 9, 2021 - 9:06pm

Toronto, Ontario--(Newsfile Corp. - Le 9 aot/August 2021) Trading in the shares of Canada House Wellness Group 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 9 aot/August 2021) Trading in the shares of Canada House Wellness Group 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 ngociation des actions de Canada House Wellness Group Inc. restera interrompue en attendant la rception et l'examen des documents acceptables concernant l'acquisition fondamentale conformment la politique 8 du CSE .
  • Canada House Wellness Group Inc.

Enforcement Notice - Hearing - IIROC Holds Hearing for Gary Man Kin Ng and Donald Warren Metcalfe

Monday, March 22, 2021 - 7:10pm

VANCOUVER, BC, March 22, 2021 /CNW/ -A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter of Gary Man Kin Ng and Donald Warren Metcalfe.

Key Points: 
  • VANCOUVER, BC, March 22, 2021 /CNW/ -A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter of Gary Man Kin Ng and Donald Warren Metcalfe.
  • The alleged violations occurred while Mr. Metcalfe was a Director and Executive with PI Financial Corp. and Chippingham Financial Group Limited.
  • IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while supporting healthy Canadian capital markets.
  • All information about disciplinary proceedings relating to current and former member firms is available in the Enforcement section of the IIROC website.

IIROC welcomes report from Ontario's Capital Markets Modernization Taskforce

Thursday, July 9, 2020 - 8:59pm

TORONTO, July 9, 2020 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today welcomed the publication of the Capital Markets Modernization Taskforce consultation report, praising the Ontario Government for its leadership role in moving forward to modernize the province's capital markets.

Key Points: 
  • TORONTO, July 9, 2020 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today welcomed the publication of the Capital Markets Modernization Taskforce consultation report, praising the Ontario Government for its leadership role in moving forward to modernize the province's capital markets.
  • 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 also sets and enforces market integrity rules regarding trading activity on Canadian debt and equity marketplaces.

IIROC Fines and Suspends Winnipeg Investment Advisor Thomas William Dunn

Thursday, April 2, 2020 - 3:25pm

WINNIPEG, April 2, 2020 /CNW/ - On March 18, 2020, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and Thomas William Dunn.

Key Points: 
  • WINNIPEG, April 2, 2020 /CNW/ - On March 18, 2020, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and Thomas William Dunn.
  • 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.
  • Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1 877 442-4322.

IIROC Begins Disciplinary Action Against Toronto Investment Advisor Darren Maurice Sampson

Thursday, February 27, 2020 - 8:04pm

TORONTO, Feb. 27, 2020 /CNW/ - An appearance has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) for the purpose of setting a date for the disciplinary hearing in the matter of Darren Maurice Sampson.

Key Points: 
  • TORONTO, Feb. 27, 2020 /CNW/ - An appearance has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) for the purpose of setting a date for the disciplinary hearing in the matter of Darren Maurice Sampson.
  • 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.
  • Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1 877 442-4322.

Enforcement Notice - Decision - IIROC Fines Darren Carrigan and Jason Gold

Friday, December 27, 2019 - 6:10pm

TORONTO, Dec. 27, 2019 /CNW/ - On December 12, 2019, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and Darren Carrigan and Jason Gold.

Key Points: 
  • TORONTO, Dec. 27, 2019 /CNW/ - On December 12, 2019, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and Darren Carrigan and Jason Gold.
  • Both Mr. Carrigan and Mr. Gold admitted failing to fulfill their gatekeeper responsibilities to IIROC-regulated marketplaces, contrary to UMIR Rule 2.1(1).
  • Documents related to ongoing IIROC enforcement proceedings including Reasons and Decisions of Hearing Panels are posted on the IIROC website as they become available.
  • All information about disciplinary proceedings relating to current and former member firms is available in the Enforcement section of the IIROC website.

Securities regulator modernizes rules to improve investment firms' understanding and interpretation

Thursday, August 22, 2019 - 4:00pm

TORONTO, Aug. 22, 2019 /CNW/ -The Investment Industry Regulatory Organization of Canada (IIROC) today published its Dealer Member Rules in plain language (IIROC Rules), providing a clear, organized and modernized rewrite of IIROC's existing Dealer Member Rules (DMRs).

Key Points: 
  • TORONTO, Aug. 22, 2019 /CNW/ -The Investment Industry Regulatory Organization of Canada (IIROC) today published its Dealer Member Rules in plain language (IIROC Rules), providing a clear, organized and modernized rewrite of IIROC's existing Dealer Member Rules (DMRs).
  • Approved by the Canadian Securities Administrators, the IIROC Rules will govern the activities of investment firms and, together with IIROC's existing Universal Market Integrity Rules, comprise IIROC's regulatory framework.
  • When IIROC was formed in 2008, it adopted the former Investment Dealer Association's rules as the DMRs.
  • Also published today, as a part of the IIROC Rules: