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Enforcement Notice - Hearing - IIROC Hearing Panel to Hear Motion in the Matter of Gordon Albert Malic

ST. ALBERT, AB, Sept. 29, 2020 /CNW/ -A A motion has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter of Gordon Albert Malic. The motion is open to the public, unless the Hearing Panel orders otherwise. Members of the public who would like to attend the Motion should contact IIROC's National Hearing Coordinator at NHC1@iiroc.ca to obtain details. The decision of the Hearing Panel will be made available at www.iiroc.ca.Documents related to ongoing IIROC enforcement proceedings a?? including Reasons and Decisions of Hearing Panels a?? are posted on the IIROC website as they become available. Click here to search and access all IIROC enforcement documents.Motion Date: The hearing will be held by way of teleconference onA October 6, 2020, at 10:00 a.m. (MDT).The motion relates to a disciplinary proceeding initiated against Mr. Malic. The allegations are that Mr. Malic failed to report and address a material conflict of interest, which arose when his clients invested in his outside business activities. Two of those clients lost all, or a significant portion of their investments. It is also alleged that he failed to inform his employer of outside business activities and misled them about those activities.
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