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Canadian Investment Manager
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71	IMPORTANT INFORMATION IIROC does NOT approve or endorse any financial designation or certification. Inclusion in IIROC’s Glossary of Financial Certifications does NOT imply that IIROC considers the certificate or desig Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-10-30 09:31:56 Securities Professional certification Finance Designated landmark Business Canadian Investment Manager Standards Financial regulation Investment Industry Regulatory Organization of Canada
72	Microsoft Word - kya - approval categories.doc Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-06-19 15:53:52 Securities Self-regulatory organizations Business Financial regulation Investment Industry Regulatory Organization of Canada Registered representative Canadian Investment Manager Exempt market dealer Financial economics United States securities law Finance
73	CSA Staff Notice[removed]Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers January 17, 2013 Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-07-04 17:39:26 Financial services Collective investment schemes Institutional investors Investment management Canadian securities regulation Mutual fund Investment Policy Statement Security Portfolio manager Financial economics Investment Finance
74	Media Advisory Global conference to feature investor education experts from six continents IFIE-IOSCO Investor Education Conference June 20-21, 2013 in Toronto June 18, 2013 (Toronto, Ontario) – The Investment Industry Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-06-19 18:25:01 Investment Industry Regulatory Organization of Canada Financial economics Financial system Investor education Securities Commission Canadian securities regulation Canadian Investment Manager Financial regulation Economics International Organization of Securities Commissions
75	Why IIROC Matters to You, the Investor The Investment Industry Regulatory Organization of Canada (IIROC) regulates all Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-12-13 15:26:31 Banking in Canada Canadian Investor Protection Fund Investment Industry Regulatory Organization of Canada Ombudsman for Banking Services and Investments Canadian securities regulation Financial services Wealth management Canadian Investment Manager Financial economics Business Finance
76	List of Ontario Registrants as of July 16, [removed]SECURITIES INC. > Exempt Market Dealer Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 17:21:42 Collective investment schemes Financial services Mutual fund Mutualism Portfolio manager BlackRock Exempt market dealer Exempt market securities Canadian Investment Manager Financial economics Investment Finance
77	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: www.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
78	IMPORTANT INFORMATION IIROC does NOT approve or endorse any financial designation or certification. Inclusion in IIROC’s Glossary of Financial Certifications does NOT imply that IIROC considers the certificate or desig Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-10-30 09:31:56 Securities Professional certification Finance Designated landmark Business Canadian Investment Manager Standards Financial regulation Investment Industry Regulatory Organization of Canada
79	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: www.ocrcvm.ca Language: English - Date: 2012-06-18 15:05:21 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
80	SWJ Keynote Address – IIROC’s Regulatory Agenda Add to Reading List Source URL: www.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

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