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Enforcement Notice - Hearing - IN THE MATTER OF Elizabeth St-James - Motion

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Enforcement Notice - Hearing - IN THE MATTER OF Elizabeth St-James - Motion

Canada NewsWire

MONTRÉAL, Aug. 31, 2018 /CNW/ - A motion will be presented before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter of Elizabeth St-James.

The motion relates to a disciplinary proceeding initiated against Ms. St-James. The allegation is that Ms. St-James failed to properly supervise activities in customers accounts by two registered representatives under her responsibility.

The motion is being brought by Ms. St-James, seeking to have the Hearing Panel decide on the non-admissibility of a piece of evidence.

The hearing is open to the public, unless the Hearing Panel orders otherwise. The decision of the Hearing Panel will be made available at www.iiroc.ca.

Motion Date:     

September 14, 2018, at 9:30 a.m.



Location:          

IIROC – Carmen Crépin Room


525 Viger Avenue W., Suite 601


Montréal, Québec

 

IIROC formally initiated the investigation into Ms. St-James in September 2014. The conduct occurred while she was a branch manager at Mackie Research Capital Corporation (Mackie), an IIROC-regulated firm. Ms. St-James is still employed at Mackie, as a Registered Representative.

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.

The Notice of Hearing and Statement of Allegations which sets out the allegations is available at: http://docs.iiroc.ca/DisplayDocument.aspx?DocumentID=C23100D88C0740D79ACD15911078FC24&Language=en.

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IIROC is the national self-regulatory organization which 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 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 debt and 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

View original content: http://www.newswire.ca/en/releases/archive/August2018/31/c4621.html

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