Canadian Investment Manager - PDFSEARCH.IO - Document Search Engine

Canadian Investment Manager
Results: 96

#	Item
41	Policy Bulletin #0469-P - Regulatory Gap in Canada – Fund Managers: The Need for a Compensation Fund Add to Reading List Source URL: mfda.ca Language: English - Date: 2011-06-16 12:29:03 Financial services Collective investment schemes Institutional investors Canadian Investor Protection Fund Mutual fund Hedge fund Canadian Investment Manager Financial economics Investment Finance
42	DELEGATION OF REGISTRATION AUTHORITY BY THE SUPERINTENDENT OF SECURITIES OF NEWFOUNDLAND AND LABRADOR TO THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA ("IIROC") On October 1, 2007, in order to simplify the r Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-01-11 15:27:23 Securities Financial system Finance United States securities law Securities Act Newfoundland and Labrador Canadian Investment Manager Financial economics Financial regulation Investment Industry Regulatory Organization of Canada
43	For further information, please contact: June Yee Manager, Corporate Communications[removed]removed] Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-03-11 11:46:04 Investment Industry Regulatory Organization of Canada Securities Economics Investment Investor education Business Finance Canadian Investment Manager Financial economics Self-regulatory organizations Financial regulation
44	FACT SHEET November 2013 IIROC Financial Literacy and Investor Education Initiatives Mandate • Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-11-01 10:20:03 Financial economics Economics Investor education Social and Enterprise Development Innovations Business Investment Canadian Investment Manager Financial regulation Investment Industry Regulatory Organization of Canada Securities
45	From: Corey Johnson [mailto:[removed]] Sent: Friday, February 25, 2011 7:26 AM To: Marsha Manolescu; [removed] Subject: MDC of IIROC comments on the Consultation Paper dat Add to Reading List Source URL: www.finance.alberta.ca Language: English - Date: 2014-07-07 15:57:54 Canadian law Canadian securities regulation Investment Industry Regulatory Organization of Canada Finance Mutual Fund Dealers Association Ombudsman for Banking Services and Investments Securities Commission Canadian Investment Manager Financial adviser Financial economics Securities Business
46	SWJ Keynote Address – IIROC’s Regulatory Agenda Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-03-31 11:46:04 Business Financial adviser Financial planner Investment Industry Regulatory Organization of Canada Regulatory compliance Regulatory risk differentiation Canadian Investment Manager Exempt market dealer Financial economics Finance Investment
47	Administrative General Please distribute internally to: Institutional Legal and Compliance Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-12-09 15:41:04 United States Securities and Exchange Commission Business Securities Financial system Canadian securities regulation Investment Industry Regulatory Organization of Canada Universal Market Integrity Rules Securities Act Exempt market dealer Financial economics Canadian Investment Manager Professional certification in finance
48	Administrative Notice General Dealer Member Rules UMIR Please distribute internally to: Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-06-02 14:11:03 Securities Financial system Canadian Investment Manager Professional certification in finance Universal Market Integrity Rules Investment Industry Regulatory Organization of Canada Canadian securities regulation Securities Act Exempt market dealer Financial economics Business United States Securities and Exchange Commission
49	For further information, please contact: June Yee Manager, Corporate Communications[removed]removed] Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-03-24 11:11:03 Securities Finance Investment Business Canadian Investment Manager Financial economics Financial regulation Investment Industry Regulatory Organization of Canada
50	Microsoft Word - 31_103_notice_rfc.doc Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:11 Exempt market dealer Business Money Canadian Investment Manager Mutual Fund Dealers Association Canadian securities regulation Non-reporting issuer Investment Finance Financial economics

UPDATE