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 Stephen Moran - Settlement Accepted

MONTRÉAL, Nov. 23, 2012 /CNW/ - On November 9, 2012, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement between IIROC staff and Stephen Moran.

Mr. Moran admitted that he engaged in business conduct unbecoming or detrimental to the public interest due to the fact that he borrowed a sum of $10,000 from a client without informing his employer and without obtaining the latter's prior authorization.

Pursuant to the Settlement Agreement, Mr. Moran agreed to the following penalties:

a) A fine of $20,000, including an amount of $10,000 corresponding to the profit made;

b) A 12-month period of strict supervision following Mr. Moran's reapproval;

c) Successful completion of the Conduct and Practices Handbook examination;

Mr. Moran also agreed to pay costs in the amount of $2,500.

The Settlement Agreement is available at http://docs.iiroc.ca/DisplayDocument.aspx?DocumentID=4C9475BB815F424F91A9AE7AFA79BC40&Language=en and the Hearing Panel's decision 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.

IIROC formally initiated the investigation into Mr. Moran's conduct in August 2011. The conduct occurred when Mr. Moran was a Registered Representative with the Pointe-Claire branch of Desjardins Securities, an IIROC-regulated firm. Mr. Moran is no longer a registrant with an IIROC-regulated firm.

*  *  *

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 regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets.

IIROC carries out its regulatory responsibilities by setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and by 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
In recent years, the US government has become a leading advocate for continuous monitoring of security threats and vulnerabilities. But how effectively are departments and agencies in implementing these programs? And how do we measure success? Moving Towards Continuous Monitoring Tho...
A lot is written on mobile technologies, the Internet of Things, social media and analytics, but little is written on how all these might work together in a retail environment. I think best by writing, so let's think this through together. Blind spots are defined as, "Areas where a p...
Google, with one fell swoop, changed their search algorithm and changing the lives (and livelihoods) of billions. Enter Mobilegeddon. With smartphones becoming as ubiquitous as ever, people are increasingly using them for tasks that they used to do on their PCs, like search. And just ...
If you’ve been paying close attention lately you’ll know that the “Internet of Things” has become one of the technology industry’s biggest buzz phrases. It’s not hard to figure why. The internet has been around for the last twenty years and it has truly revolutionized our lives, the wa...
As an engineer who started my career working on real-time embedded systems for industrial automation, I can tell you what a Herculean task it can be to get a tiny piece of hardware to run very sophisticated software on comparatively low spec CPU. All the while having it execute quickly...
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