IIROC to Hold Protective Order Hearing in the Matter of Regent Capital Partners Inc.

22-0011
Type: Enforcement Notice> Hearing

Contact:

Andrew P. Werbowski
Director, Enforcement Litigation
Telephone:
Email:
Julia Mackenzie
Public Affairs Specialist
Telephone:
Email:

January 13, 2022 (Toronto, Ontario) – A protective order hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter of Regent Capital Partners Inc (Regent).

IIROC Staff will seek orders pursuant to sections 8212 and 8426 of the IIROC Rules. In particular, IIROC Staff will seek an order for the suspension of Regent’s membership as a result of:

  1. Regent having filed a notice of intention to resign its membership; and
  2. Regent becoming capital deficient.

The hearing is open to the public, unless the Panel orders otherwise. Members of the public who would like to attend the hearing should contact IIROC’s National Hearing Officer at [email protected] to obtain the details.  The decision of the Hearing Panel will be made available at www.iiroc.ca

Hearing Date:  The hearing will be held by way of videoconference January 21, 2022 at 10:00 a.m.

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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.

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.

IIROC is the pan-Canadian self-regulatory organization that 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 174 Canadian investment dealer firms of varying sizes and business models, and their more than 31,000 registered employees. IIROC also sets and enforces market integrity rules regarding trading activity on Canadian debt and equity marketplaces. For more information, visit www.iiroc.ca.

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Other Notices associated with this Enforcement Proceeding: