Disciplined List

Details

Name: IPC Securities Corporation
Ontario - Investment Industry Regulatory Organization of Canada
Date of Order or Settlement August 29, 2016
Sanctions
Administrative Penalty/Fine
Payment Agreed/Ordered $70,000.00
Violations
Internal control violations
Supporting Documents
Related Documents (English) (French)

Ontario - Ontario Securities Commission
Date of Order or Settlement June 07, 2018
Sanctions
Specific undertakings
Other
Payment Agreed/Ordered Costs/Frais: $30,000; Settlement Payment/Somme versée en règlement: $460,000
Supporting Documents
Order (English)
Settlement Agreement (English)

SRO - Investment Industry Regulatory Organization of Canada
Date of Order or Settlement May 10, 2010
Sanctions
Administrative Penalty/Fine
Payment Agreed/Ordered $75,000.00
Violations
Inadequate compliance system
Supporting Documents
Related Documents (English) (French)

The CSA presents this information as a plain language summary of information found in publicly available documents. You should review the supporting documents for the full conditions and context of all decisions, orders, and sanctions. Please forward any questions or reports of errors and omissions to csa-acvm-secretariat@acvm-csa.ca



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