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Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
151	CORRECTED Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-11-19 13:36:05 Finance Financial regulation Investment Industry Regulatory Organization of Canada Securities Due diligence Franchising Law Contract law Business
152	CORRECTED Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-11-19 13:36:06 Finance Financial regulation Investment Industry Regulatory Organization of Canada Securities Due diligence Franchising Law Contract law Business
153	Microsoft Word - NI_33-109 CLEAN July 13, 2009.doc Add to Reading List Source URL: nssc.novascotia.ca Language: English - Date: 2014-05-07 16:35:57 Securities Financial economics Autorité des marchés financiers Ontario Securities Commission Self-regulatory organization British Columbia Securities Commission Securities Commission United States securities law Investment Industry Regulatory Organization of Canada Financial regulation United States Securities and Exchange Commission Financial system
154	Rules Notice Guidance Note Dealer Member Rules Please distribute internally to: Internal Audit Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-12-01 14:36:04 Chief financial officer Senior management CFO Investment Industry Regulatory Organization of Canada Management Corporate governance Business
155	Rules Notice Technical UMIR Contact: Deanna Dobrowsky Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-12-15 10:01:05 Economy of Canada Universal Market Integrity Rules Investment Industry Regulatory Organization of Canada Market Trading room Financial economics Finance Economics
156	IIROC CLS Compliance Conference 2014 Toronto Paul Riccardi Senior Vice President, Member Regulation Investment Industry Regulatory Organization of Canada Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-12-10 10:31:03 Regulatory compliance Regulation Public administration Law Business Financial regulation Investment Industry Regulatory Organization of Canada Securities
157	Rule Notice Technical Please distribute internally to: Operations Regulatory Accounting Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-12-02 08:41:03 Finance Financial regulation Investment Industry Regulatory Organization of Canada Securities Due diligence Financial economics Franchising Law Contract law Business
158	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Elsa Renzella Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-12-17 11:36:52 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
159	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Carmen Crépin Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-12-08 13:06:51 Financial regulation Investment Industry Regulatory Organization of Canada Business Financial economics Due diligence Milot Finance Law Securities
160	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Elsa Renzella Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-11-27 15:16:05 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada

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