IN THE MATTER OF GORDON MURRAY HENDERSON – Registration Review District Council Panel Decision

18-0144
Type: Registration Review Hearing> Decision

Contact:

Marina Ripoche
Vice President, Registration
Telephone:
Email:

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.

MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.