Alert:
A nationwide postal strike or lockout may occur as early as November 3, 2004. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
IN THE MATTER OF Michael Hiram Levine – Registration Review Hearing Decision
April 13, 2018 (Toronto, Ontario) – On November 2, 2017, the Registration Subcommittee of the Ontario District Council imposed terms and conditions on Michael Hiram Levine’s registration and approval as a Registered Representative with the Investment Industry Regulatory Organization of Canada (IIROC). These terms and conditions required Mr. Levine to complete the Wealth Management Essentials (WME) course within 12 months of registration. Mr. Levine sought a review of that decision by an IIROC Hearing Panel (the Panel).
On February 26, 2018, the Panel granted registration without terms and conditions.
The decision of the Panel is available here, 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.