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ARTICLE · 27 APRIL 2015

IIROC’s New Policy Regarding Personal Information In Disciplinary Proceedings Takes Effect On May 1, 2015

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The policy provides guidance relative to the use and disclosure of personal information in proceedings brought pursuant to Rule 20 of the IIROC Dealer Member Rules and Part 10 of the Universal Market Integrity Rules.

CanadaPrivacy
Sean Griffin
Sean Griffin
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The policy provides guidance relative to the use and disclosure of personal information in proceedings brought pursuant to Rule 20 of the IIROC Dealer Member Rules and Part 10 of the Universal Market Integrity Rules (UMIR). This policy will replace IIROC's "Policy on Requests for Access to Disciplinary Hearing and Settlement Hearing Records".

New Requirements

The new policy requires the redaction of specific personal information that is enumerated in the policy from documents filed with the National Hearing Coordinator or with an IIROC Hearing Panel. The policy also provides limits the access to the hearing record to the redacted record.

The policy provides that personal information includes recorded information about an individual, and includes, but is not limited to, the list below. Note that :

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