Canada: IIROC imposes penalties against individuals

Posted by nileshkokane on 11 July, 2011

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This item was filled under [ Featured, Financial Regulators, USA ]

On June 07, 2011 Investment Industry Regulatory Organization of Canada (IIROC) published that following a disciplinary hearing held on December 7-18, 2009, January 25-February 10, 2010 and March 30-31, 2010, in Toronto, Ontario, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) found that Kenneth Nott, Aidin Sadeghi, Christopher Kaplan, Robert Nemy and Jake Poultsrup (the “Individual Respondents”) entered artificial closing bids in contravention of UMIR 2.2(2)(b) and UMIR Policy 2.2.

The original article can be found at Investment Industry Regulatory Organization of Canada.

Courtesy: mycsbstory.ca

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Tagged with: [ Aidin Sadeghi, allegations, Canada, Christopher Kaplan, compliance risk, disciplinary hearing, dismissed, fine, IIROC, investment Industry Regulatory Organization of Canada, Jake Poultsrup, Kenneth Nott, penalty, regulatory risk, Robert Nemy, suspension ]

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