Enforcement Notice Decision - IN THE MATTER OF Deutsche Bank Securities Ltd. - Settlement Accepted

Enforcement Notice Decision - IN THE MATTER OF Deutsche Bank Securities Ltd. - 
Settlement Accepted 
TORONTO, Feb. 8, 2013 /CNW/ - On February 8, 2013, a Hearing Panel of the 
Investment Industry Regulatory Organization of Canada (IIROC) accepted a 
Settlement Agreement between IIROC staff and Deutsche Bank Securities Ltd. 
(DBSL). 
DBSL admitted that in late July and early August 2007, it failed to engage 
Compliance with emerging issues in the asset-backed commercial paper market, 
contrary to Investment Dealers Association of Canada Policy 5. 
Pursuant to the Settlement Agreement, DBSL agreed to pay a fine of $1 million. 
The Settlement Agreement is available at: 
http://docs.iiroc.ca/DisplayDocument.aspx?DocumentID=07B7A5BA359C4ED98C7B2C299F
154254&Language=en. 
The Hearing Panel's decision will be made available at www.iiroc.ca. 
Documents related to ongoing IIROC enforcement proceedings - including Reasons 
and Decisions of Hearing Panels - are posted on the IIROC website as they 
become available. Click here to search and access all IIROC enforcement 
documents. 
IIROC formally initiated the investigation into DBSL's conduct on February 13, 
2008. The alleged violations occurred when DBSL was a member firm of the 
Investment Dealers Association of Canada. DBSL is currently an 
IIROC-regulated firm. 
* * * 
IIROC is the national self-regulatory organization which oversees all 
investment dealers and trading activity on debt and equity marketplaces in 
Canada. Created in 2008 through the consolidation of the Investment Dealers 
Association of Canada and Market Regulation Services Inc., IIROC sets high 
quality regulatory and investment industry standards, protects investors and 
strengthens market integrity while maintaining efficient and competitive 
capital markets. 
IIROC carries out its regulatory responsibilities through setting and 
enforcing rules regarding the proficiency, business and financial conduct of 
dealer firms and their registered employees and through setting and enforcing 
market integrity rules regarding trading activity on Canadian equity 
marketplaces. 
IIROC investigates possible misconduct by its member firms and/or individual 
registrants. It can bring disciplinary proceedings which may result in 
penalties including fines, suspensions, permanent bars, expulsion from 
membership, or termination of rights and privileges for individuals and firms. 
All information about disciplinary proceedings relating to current and former 
member firms is available in the Enforcement section of the IIROC website. 
Background information regarding the qualifications and disciplinary history, 
if any, of advisors currently employed by IIROC-regulated firms is available 
free of charge through the IIROC AdvisorReport service. Information on how to 
make investment dealer, advisor or marketplace-related complaints is available 
by calling 1.877.442.4322. 
Enforcement Contact: Elsa Renzella Acting Vice President, Enforcement 416 
943-5877 erenzella@iiroc.ca  
Media Contact: Charlene Fong Public Affairs Specialist 416 943-5846 
cfong@iiroc.ca    
SOURCE: Investment Industry Regulatory Organization of Canada (IIROC) - 
General News 
To view this news release in HTML formatting, please use the following URL: 
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CO: Investment Industry Regulatory Organization of Canada (IIROC) - General 
News
ST: Ontario
NI: FIN  
-0- Feb/08/2013 15:00 GMT