|By PR Newswire||
|March 5, 2014 11:22 AM EST||
MONTRÉAL, March 5, 2014 /CNW/ - The appeals of the decision of the Court of Québec, District of Montréal, dated December 14, 2011, in the matter of Louis-Philippe Séguin, were heard on December 18, 2013.
The Québec Court of Appeal released its decisions on December 18, 2013, and February 13, 2014. It:
Dismissed the appeal by Louis-Philipe Séguin of the guilty finding against him, with costs;
Upheld the guilty finding against Louis-Philipe Séguin for failure to cooperate;
Accepted the appeal by IIROC regarding the penalty, with costs;
Overturned the judgment of the Court of Québec regarding the penalty; and
Reinstated the penalties imposed by the Hearing Panel and upheld by the BDR, namely a permanent bar from approval and a fine of $50,000, with costs in the amount of $27,000.
The decision of the Québec Court of Appeal, dated February 13, 2014, is available at: http://www.jugements.qc.ca/php/decision.php?liste=74593030&doc=47EEA933419C2AEF0E045AFE4C44BEE2C67BFEF9A0B318D3D94309DF795769AC&page=1.
The decision of the Québec Court of Appeal, dated December 18, 2013, is available at: http://www.jugements.qc.ca/php/decision.php?liste=74667150&doc=355880798EDEDB6B070891A79DD0B5601A031850759160CDE5ACADCF8C0E9A43&page=1
The decision of the Court of Québec, dated December 14, 2011, is available at: http://www.jugements.qc.ca/php/decision.php?liste=74610993&doc=87535F678CDB77CD809A9A12F4B95DA60F9EDBD9EB2526239A1DE6A793704407&page=35.
The decision of the Bureau de décision et de révision (BDR), dated December 22, 2010, is available at: http://www.jugements.qc.ca/php/decision.php?liste=74612237&doc=993786104F08B747421B2F630C6771D0E9420C8E806B1895CC15C79AB6925B5D&page=1.
The three decisions of the IIROC Hearing Panel that were subject to review by the BDR and, subsequently, to appeal before the Court of Québec and the Québec Court of Appeal are available at:
- Motion respecting the jurisdiction of the IIROC Hearing Panel, dated June 29, 2007: http://www.iiroc.ca/Documents/2007/9C603AC1-3135-4F55-B77E-8D599B811DAD_en.pdf;
- Decision on liability, dated December 7, 2007: http://www.iiroc.ca/Documents/2008/39E7EF93-5F77-4C1C-AB22-35575767B1E5_en.pdf;
- Decision on penalty, dated March 11, 2008: http://www.ocrcvm.ca/Documents/2014/675ccb8f-8932-41b2-b770-39cf5af883a4_fr.PDF.
The Notice of Hearing which sets out the allegations is available at: http://www.iiroc.ca/Documents/2007/C6DA9588-D28D-43BC-9FC8-AA91B311E6B3_en.pdf
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 here 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 Canada. Created in 2008 through the consolidation of the Investment Dealers Association of Canada 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.
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.
SOURCE Investment Industry Regulatory Organization of Canada (IIROC) - General News
@ThingsExpo has been named the Most Influential ‘Smart Cities - IIoT' Account and @BigDataExpo has been named fourteenth by Right Relevance (RR), which provides curated information and intelligence on approximately 50,000 topics. In addition, Right Relevance provides an Insights offering that combines the above Topics and Influencers information with real time conversations to provide actionable intelligence with visualizations to enable decision making. The Insights service is applicable to eve...
Apr. 27, 2017 06:30 PM EDT Reads: 2,813
Building a cross-cloud operational model can be a daunting task. Per-cloud silos are not the answer, but neither is a fully generic abstraction plane that strips out capabilities unique to a particular provider. In his session at 20th Cloud Expo, Chris Wolf, VP & Chief Technology Officer, Global Field & Industry at VMware, will discuss how successful organizations approach cloud operations and management, with insights into where operations should be centralized and when it’s best to decentraliz...
Apr. 27, 2017 06:00 PM EDT Reads: 777
DevOps is often described as a combination of technology and culture. Without both, DevOps isn't complete. However, applying the culture to outdated technology is a recipe for disaster; as response times grow and connections between teams are delayed by technology, the culture will die. A Nutanix Enterprise Cloud has many benefits that provide the needed base for a true DevOps paradigm.
Apr. 27, 2017 06:00 PM EDT Reads: 1,025
Cybersecurity is a critical component of software development in many industries including medical devices. However, code is not always written to be robust or secure from the unknown or the unexpected. This gap can make medical devices susceptible to cybersecurity attacks ranging from compromised personal health information to life-sustaining treatment. In his session at @ThingsExpo, Clark Fortney, Software Engineer at Battelle, will discuss how programming oversight using key methods can incre...
Apr. 27, 2017 05:30 PM EDT Reads: 3,951
The goal of Continuous Testing is to shift testing left to find defects earlier and release software faster. This can be achieved by integrating a set of open source functional and performance testing tools in the early stages of your software delivery lifecycle. There is one process that binds all application delivery stages together into one well-orchestrated machine: Continuous Testing. Continuous Testing is the conveyor belt between the Software Factory and production stages. Artifacts are ...
Apr. 27, 2017 05:15 PM EDT Reads: 1,265
In recent years, containers have taken the world by storm. Companies of all sizes and industries have realized the massive benefits of containers, such as unprecedented mobility, higher hardware utilization, and increased flexibility and agility; however, many containers today are non-persistent. Containers without persistence miss out on many benefits, and in many cases simply pass the responsibility of persistence onto other infrastructure, adding additional complexity.
Apr. 27, 2017 04:30 PM EDT Reads: 2,286
Quickly find the root cause of complex database problems slowing down your applications. Up to 88% of all application performance issues are related to the database. DPA’s unique response time analysis shows you exactly what needs fixing - in four clicks or less. Optimize performance anywhere. Database Performance Analyzer monitors on-premises, on VMware®, and in the Cloud, including Amazon® AWS and Azure™ virtual machines.
Apr. 27, 2017 04:15 PM EDT Reads: 1,965
Most technology leaders, contemporary and from the hardware era, are reshaping their businesses to do software in the hope of capturing value in IoT. Although IoT is relatively new in the market, it has already gone through many promotional terms such as IoE, IoX, SDX, Edge/Fog, Mist Compute, etc. Ultimately, irrespective of the name, it is about deriving value from independent software assets participating in an ecosystem as one comprehensive solution.
Apr. 27, 2017 03:45 PM EDT Reads: 554
SYS-CON Events announced today that Progress, a global leader in application development, has been named “Bronze Sponsor” of SYS-CON's 20th International Cloud Expo®, which will take place on June 6-8, 2017, at the Javits Center in New York City, NY. Enterprises today are rapidly adopting the cloud, while continuing to retain business-critical/sensitive data inside the firewall. This is creating two separate data silos – one inside the firewall and the other outside the firewall. Cloud ISVs oft...
Apr. 27, 2017 03:28 PM EDT Reads: 256
Developers want to create better apps faster. Static clouds are giving way to scalable systems, with dynamic resource allocation and application monitoring. You won't hear that chant from users on any picket line, but helping developers to create better apps faster is the mission of Lee Atchison, principal cloud architect and advocate at New Relic Inc., based in San Francisco. His singular job is to understand and drive the industry in the areas of cloud architecture, microservices, scalability ...
Apr. 27, 2017 03:00 PM EDT Reads: 3,572
SYS-CON Events announced today that CA Technologies has been named "Platinum Sponsor" of SYS-CON's 20th International Cloud Expo®, which will take place on June 6-8, 2017, at the Javits Center in New York City, New York, and 21st International Cloud Expo, which will take place in November in Silicon Valley, California.
Apr. 27, 2017 02:00 PM EDT Reads: 2,427
The 20th International Cloud Expo has announced that its Call for Papers is open. Cloud Expo, to be held June 6-8, 2017, at the Javits Center in New York City, brings together Cloud Computing, Big Data, Internet of Things, DevOps, Containers, Microservices and WebRTC to one location. With cloud computing driving a higher percentage of enterprise IT budgets every year, it becomes increasingly important to plant your flag in this fast-expanding business opportunity. Submit your speaking proposal ...
Apr. 27, 2017 01:45 PM EDT Reads: 1,299
DevOps is often described as a combination of technology and culture. Without both, DevOps isn't complete. However, applying the culture to outdated technology is a recipe for disaster; as response times grow and connections between teams are delayed by technology, the culture will die. A Nutanix Enterprise Cloud has many benefits that provide the needed base for a true DevOps paradigm. In his Day 3 Keynote at 20th Cloud Expo, Chris Brown, a Solutions Marketing Manager at Nutanix, will explore t...
Apr. 27, 2017 01:30 PM EDT Reads: 789
New competitors, disruptive technologies, and growing expectations are pushing every business to both adopt and deliver new digital services. This ‘Digital Transformation’ demands rapid delivery and continuous iteration of new competitive services via multiple channels, which in turn demands new service delivery techniques – including DevOps. In this power panel at @DevOpsSummit 20th Cloud Expo, moderated by DevOps Conference Co-Chair Andi Mann, panelists will examine how DevOps helps to meet th...
Apr. 27, 2017 01:15 PM EDT Reads: 1,590
SYS-CON Events announced today that Juniper Networks (NYSE: JNPR), an industry leader in automated, scalable and secure networks, will exhibit at SYS-CON's 20th International Cloud Expo®, which will take place on June 6-8, 2017, at the Javits Center in New York City, NY. Juniper Networks challenges the status quo with products, solutions and services that transform the economics of networking. The company co-innovates with customers and partners to deliver automated, scalable and secure network...
Apr. 27, 2017 01:15 PM EDT Reads: 4,952