legal_gavel_regulatory_feature

The decisions of hearing panels of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter of Lucy Marie Pariak-Lukic (dated January 2, 2014, and March 6, 2014) were reviewed by the Ontario Securities Commission on January 15, 2015.

The OSC then released its decision on the matter on June 22, 2015. OSC also allowed IIROC staff the application for a hearing and review of the IIROC decisions requesting that a period of suspension be imposed on Pariak-Lukic’s registration status.

In OSC’s decision, the Commission concluded it’s in the public interest to impose a suspension and make the following order: Pariak-Lukic shall be suspended for two years from approval by, or registration with, IIROC in all categories anywhere in the industry, commencing 14 days after the date of this order (July 6th, 2015).

This suspension of registration, says IIROC, has been imposed in addition to the original sanctions imposed by the original IIROC hearing panels.

Originally published on Advisor.ca

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