Comments
yourfanat wrote: I am using another tool for Oracle developers - dbForge Studio for Oracle. This IDE has lots of usefull features, among them: oracle designer, code competion and formatter, query builder, debugger, profiler, erxport/import, reports and many others. The latest version supports Oracle 12C. More information here.

2008 West
DIAMOND SPONSOR:
Data Direct
SOA, WOA and Cloud Computing: The New Frontier for Data Services
PLATINUM SPONSORS:
Red Hat
The Opening of Virtualization
GOLD SPONSORS:
Appsense
User Environment Management – The Third Layer of the Desktop
Cordys
Cloud Computing for Business Agility
EMC
CMIS: A Multi-Vendor Proposal for a Service-Based Content Management Interoperability Standard
Freedom OSS
Practical SOA” Max Yankelevich
Intel
Architecting an Enterprise Service Router (ESR) – A Cost-Effective Way to Scale SOA Across the Enterprise
Sensedia
Return on Assests: Bringing Visibility to your SOA Strategy
Symantec
Managing Hybrid Endpoint Environments
VMWare
Game-Changing Technology for Enterprise Clouds and Applications
Click For 2008 West
Event Webcasts

2008 West
PLATINUM SPONSORS:
Appcelerator
Get ‘Rich’ Quick: Rapid Prototyping for RIA with ZERO Server Code
Keynote Systems
Designing for and Managing Performance in the New Frontier of Rich Internet Applications
GOLD SPONSORS:
ICEsoft
How Can AJAX Improve Homeland Security?
Isomorphic
Beyond Widgets: What a RIA Platform Should Offer
Oracle
REAs: Rich Enterprise Applications
Click For 2008 Event Webcasts
SYS-CON.TV
Today's Top SOA Links


IN THE MATTER OF Lawrence Bradley Chang - Discipline Hearing

VANCOUVER, Nov. 7, 2012 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), in the matter of Lawrence Bradley Chang.

The hearing concerns allegations that Mr. Chang executed discretionary transactions in a client account with his client's consent, but without the knowledge of his firm.  It is also alleged that Mr. Chang made other transactions in the same account without the client's consent or knowledge and that he subsequently misrepresented the number of shares of one security held in the account in order to hide those unauthorized transactions.

The hearing is open to the public, unless the panel orders otherwise. The decision of the Hearing Panel 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.

Hearing Date:   February 18-22, 2013, 10:00 a.m.
 
Location:     Morris J. Wosk Centre for Dialogue
  SFU Vancouver
  580 West Hastings Street, Executive Room 380
  Vancouver, B.C.

Specifically, the allegations are that:
a)   From November 2006 through March 2008, Mr. Chang engaged in discretionary trading in a client account without first having the account approved and accepted as a discretionary account, contrary to IDA Regulation 1300.4.
b)  From December 31, 2007 through March 28, 2008, Mr. Chang purchased a combined total of approximately $498,160 of one security in a client account without authorization from the client, contrary to IDA By-law 29.1.
c) From January 2008 through May 2008, Mr. Chang, contrary to IDA By-law 29.1, made misrepresentations to a client regarding the number of shares held in the client's account in order to hide the fact that he had made unauthorized purchases of a security.

IIROC formally initiated the investigation into Mr. Chang's conduct in January 2010.  The alleged violations occurred when he was a Registered Representative with the Vancouver branch of Canaccord Genuity Corp., an IIROC-regulated firm. Mr. Chang is no longer a registrant with an IIROC-regulated firm.

The Notice of Hearing which sets out the allegations is available at: http://docs.iiroc.ca/DisplayDocument.aspx?DocumentID=2E187D5AD402424BA38C823E8F77A478&Language=en.

*  *  *

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 quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive 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 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

About PR Newswire
Copyright © 2007 PR Newswire. All rights reserved. Republication or redistribution of PRNewswire content is expressly prohibited without the prior written consent of PRNewswire. PRNewswire shall not be liable for any errors or delays in the content, or for any actions taken in reliance thereon.

Web 2.0 Latest News
The book The Cyber Threat was written to provide business and government executives insight into the nature of the dynamic adversaries attacking our networks. Understanding the Cyber Threat is critical to preparing your defenses prior to attack and also instrumental in mounting a de...
Many workloads are already in the cloud: Most organizations today run at least some workloads in the cloud. For newer organizations, they will often run ALL of their workloads in the cloud. For cloud-based workloads, sending log data to a cloud-based logging provider is not quite as bi...
While there could be more similar use cases, the point here is IoT while bringing new innovation and benefits also brings new risks. These risks much different from earlier innovations, because when in earlier cases it is mostly the enterprise financial, reporting and other data pr...
Successful hacks can paralyze websites, enable corporate or personal data to fall into the wrong hands and potentially damage the image, reputation and sales pipeline of the organization under attack. For many, this begs the question ‘Why us?’ To find out, let’s delve into the psyche o...
Large technology manufacturers that focus on channel sales through distributors and resellers have traditionally operated with informal processes, using tools like spreadsheets and information driven by anecdotal stories from channel partners, unstructured data, and the "gut instinct" ...
Subscribe to the World's Most Powerful Newsletters
Subscribe to Our Rss Feeds & Get Your SYS-CON News Live!
Click to Add our RSS Feeds to the Service of Your Choice:
Google Reader or Homepage Add to My Yahoo! Subscribe with Bloglines Subscribe in NewsGator Online
myFeedster Add to My AOL Subscribe in Rojo Add 'Hugg' to Newsburst from CNET News.com Kinja Digest View Additional SYS-CON Feeds
Publish Your Article! Please send it to editorial(at)sys-con.com!

Advertise on this site! Contact advertising(at)sys-con.com! 201 802-3021




SYS-CON Featured Whitepapers
ADS BY GOOGLE