July 27, 2018 (Toronto, Ontario) – On June 4, 2018, the Registration Subcommittee of the Ontario District Council denied Mr. Henderson’s request for an exemption from writing the Canadian Securities Course, Investment Techniques Course, and Portfolio Management Techniques Course (the decision). Mr. Henderson was seeking registration and approval as Registered Representative providing discretionary portfolio management for managed accounts (RR/PM).
Mr. Henderson sought a review of the decision by the District Council Panel (the Panel).
On July 12, 2018, the Panel quashed the decision and approved the exemption requested.
The Panel’s decision is available at: Gordon Murray Henderson - Registration Review District Council Panel Decision, under the Registration Review Hearing Notices section of the IIROC website at www.iiroc.ca.
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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.