|By PR Newswire||
|April 4, 2014 12:38 PM EDT||
TORONTO, April 4, 2014 /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 Diane Jean Kunicyn.
The discipline hearing concerns allegations that Mrs. Kunicyn engaged in conduct contrary to Dealer Member Rule 29.1 by entering into an improper business arrangement with an individual permanently barred from approval with IIROC.
The set date appearance is open to the public, unless the Hearing Panel orders otherwise. The date for the discipline hearing will be made available at www.iiroc.ca.
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.
Set Date Appearance: April 24, 2014 at 10:00 a.m.
IIROC Office, British Columbia Room
121 King St. W., Suite 2000
Specifically, the allegations are that:
During the period October 2010 to February 2012, Mrs. Kunicyn engaged in conduct contrary to Dealer Member Rule 29.1 by entering into an improper business arrangement with an individual permanently barred from approval with IIROC.
IIROC formally initiated the investigation into Mrs. Kunicyn's conduct in May 2011. The alleged violations occurred while she was a Registered Representative with Industrial Alliance Securities Inc., an IIROC-regulated firm. Mrs. Kunicyn is still within the industry in a registered capacity with Burgeonvest Bick Securities Limited.
The Notice of Hearing which sets out the allegations is available at:
* * *
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
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