Exempt market dealer - PDFSEARCH.IO - Document Search Engine

Exempt market dealer
Results: 401

#	Item
301	IN THE MATTER OF THE SECURITIES ACT, S.N.W.T. 2008, c. 10, AS AMENDED - and Exemption for Chief Compliance Officers of Portfolio Managers Adding a Category from Sections 3.6, 3.10 and 3.14 of National Instrument[removed]R Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2013-09-18 17:03:43 Collective investment schemes Finance Institutional investors Exempt market dealer Regulatory compliance Mutual fund Chief compliance officer Financial economics Investment Financial services
302	July 11, 2011 Sherry Tabesh-Ndreka, Senior Policy Counsel Investment Industry Regulatory Organization of Canada 121 King Street West, Suite 1600 Toronto, ON M5H 3T9 Delivered via e-mail to: [removed] Add to Reading List Source URL: faircanada.ca Language: English - Date: 2013-12-18 18:13:00 Business Securities Financial markets Short selling Investment Industry Regulatory Organization of Canada Short Exempt market dealer Canadian Investor Protection Fund Financial economics Finance Financial regulation
303	Ontario Securities Commission Exempt Market Dealers – 101 April 2014 Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2014-04-24 16:04:26 Securities Exempt market securities Exempt market dealer Business Money Non-reporting issuer Finance Financial economics Investment
304	Ontario Securities Commission[removed]Compliance Risk Assessment Questionnaire Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 17:45:19 Financial regulation Investment Stock market Exempt market dealer International Financial Reporting Standards Security Securities regulation in the United States Securities and Exchange Commission Short Finance Financial economics Business
305	Advocis 390 Queens Quay West, Suite 209 Toronto, ON M5V 3A2 T[removed][removed] Add to Reading List Source URL: www.advocis.ca Language: English - Date: 2012-10-02 13:42:04 Business Exempt market securities Securities Financial adviser Canadian securities regulation United States securities law Non-reporting issuer Exempt market dealer Financial economics Investment Finance
306	IN THE MATTER OF THE SECURITIES ACT, S.N.W.T. 2008, c. 10, AS AMENDED - and - Exemption for Mutual Fund Dealers from subparagraph[removed]b)(i) of Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2013-09-18 17:02:57 Investment Business New Deal Securities Act United States Securities and Exchange Commission Money laundering Finance Exempt market dealer Financial economics United States securities law Financial regulation
307	Know-your-client and Suitability Obligations Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2013-12-11 15:01:00 Financial economics Regulatory compliance SEC filings Money Business United States securities law Finance Investment Exempt market dealer
308	June 18, 2014 Alberta Securities Commission Autorité des marchés financiers Financial and Consumer Affairs Authority of Saskatchewan Delivered to: Denise Weeres Add to Reading List Source URL: faircanada.ca Language: English - Date: 2014-06-20 14:52:01 Business Securities Stock market Exempt market dealer Non-reporting issuer SEC filings Exempt market securities Canadian securities regulation Prospectus Financial economics Investment Finance
309	April 10, 2014 Richard J. Corner Vice President, Member Regulation Policy Investment Industry Regulatory Organization of Canada Suite 2000, 121 King Street West Toronto, ON M5H 3T9 Add to Reading List Source URL: faircanada.ca Language: English - Date: 2014-04-10 14:17:52 Securities Financial services Exempt market dealer Canadian securities regulation Collective investment scheme Investment Industry Regulatory Organization of Canada Canadian Investment Manager Financial economics Investment Finance
310	IN THE MATTER OF THE SECURITIES ACT, S.N.W.T. 2008, c. 10, AS AMENDED - and - Relief from the requirement to establish whether a client is an insider under paragraph[removed]b) Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2013-09-18 17:03:06 Stock market Economics 73rd United States Congress Financial system New Deal Securities Act Insider trading Non-reporting issuer Exempt market dealer Financial economics United States securities law United States Securities and Exchange Commission

UPDATE