Case

In the Matter of Universal Market Integrity Rules and In the Matter of Marc McQuillen
Counsel to the Applicant before the Ontario Securities Commission in a successful application to set aside a settlement agreement entered into by the Applicant with Market Regulation Services (now IIROC).  The approval of the settlement was based upon breaches of Universal Market Integrity Rules, which, in a subsequent IIROC hearing against another respondent were found not to have occurred.  The Ontario Securities Commission held that it would be manifestly unfair in the circumstances to allow the settlement agreement and settlement approval to stand.

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