Enforcement Notice - Decision 22-0033 - IIROC Sanctions Milan Plentai
ST. CATHARINES, ON, March 4, 2022 /CNW/ - On February 28, 2022, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and Milan Plentai.
- ST. CATHARINES, ON, March 4, 2022 /CNW/ - On February 28, 2022, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and Milan Plentai.
- All information about disciplinary proceedings relating to current and former member firms is available in the Enforcement section of the IIROC website.
- IIROC is the pan-Canadian self-regulatory organization that 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.