Canada IIROC Enforcement
The Canada IIROC Enforcement Sanctions list includes individuals and organizations that have been disciplined by the investment industry regulatory organization of Canada (IIROC). This list serves as a vital resource to ensure that they meet regulatory obligations. It highlights those who have violated securities regulations, including fraudulent activity and ethical breaches.
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822 Entities in Canada IIROC Enforcement
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
Dubois Daniel | Individual | Feb 18, 2014 | inactive |
Pan Sammy Shieh Lung | Individual | Feb 9, 2012 | inactive |
Barkwell Richard | Individual | Nov 9, 2018 | inactive |
Kassam Alykhan | Individual | Jul 29, 2019 | inactive |
Carinci Steven Frank | Individual | Aug 7, 2013 | inactive |
Fiumidinisi Alfonso | Individual | Oct 21, 2011 | inactive |
Crandall Robert Adrian | Individual | Apr 23, 2015 | inactive |
Wenman James Edward Lytton | Individual | Jan 30, 2012 | inactive |
Qui VinhPhat Nguyen | Individual | Jan 17, 2012 | inactive |
Stoneburg Ronald | Individual | May 10, 2010 | inactive |
FAQs
Why is compliance with Canada IIROC Enforcement necessary?
Compliance with the Canada Investment Industry Regulatory Organization (IIROC) enforcement rules is essential for several reasons. First and foremost, these regulations are designed to protect investors and ensure fair treatment in the financial markets.
Which companies should comply with Canada IIROC Enforcement?
The Canada IIROC enforcement category applies to investment firms, brokerage companies, and trading platforms. These organizations must comply to ensure they follow financial regulations, maintain trust with clients, and avoid penalties. Compliance helps protect investors and promotes fair trading practices, fostering a stable financial market in Canada. Adhering to these standards is essential for a company's reputation and success.
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