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In many cases, the end of the year gives you time to step back and take stock of the last 12 months. This is when many of us take a hard look at what worked and what did not, complete performance reviews, and formulate plans for the coming year. For me, it is all of those things plus a time when I u...
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Enforcement Notice Decision - IN THE MATTER OF Bernard Patrick King - Settlement Accepted

MONTRÉAL, Jan. 16, 2013 /CNW/ - On December 12, 2012, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and Bernard Patrick King.

Mr. King admitted that he twice confirmed in writing to one of his clients that the capital invested in the security ROC PREF III Corp. was guaranteed. Mr. King also admitted that he omitted to forward to his employer, an IIROC Dealer Member, the complaints lodged by two of his clients.

Pursuant to the Settlement Agreement, Mr. King agreed to the following penalty:

a)      A fine of $30,000;
b)     A 9-month period of strict supervision; and
c)      Successful completion of the Conduct and Practices Handbook course within six months of the panel's decision.

Mr. King also agreed to pay costs in the amount of $5,000.

The Settlement Agreement is available at: http://docs.iiroc.ca/DisplayDocument.aspx?DocumentID=06C28188C7A14667A943880C4AA0EA1E&Language=en and the Hearing Panel's decision 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.

IIROC formally initiated the investigation into Mr. King's conduct in February 2011. The conduct occurred when Mr. King was a Registered Representative with the Montréal branch of TD Waterhouse Canada Inc., an IIROC-regulated firm. Mr. King is still a Registered Representative at TD Waterhouse Canada Inc.

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 regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets.

IIROC carries out its regulatory responsibilities by setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and by 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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