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Investment Industry Regulatory Organization of Canada
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#	Item
181	INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (“IIROC”) FINANCE, AUDIT and RISK COMMITTEE CHARTER Mandate The Finance, Audit and Risk Committee (the “Committee”) is appointed Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-12-05 11:59:33 Risk Internal audit Audit External auditor Materiality Audit committee Internal control Chief audit executive Financial statement Auditing Accountancy Business
182	Annual Summary Report for Dealers, Advisers and Investment Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2014-09-25 10:35:32 Financial regulation Business Exempt market dealer Securities Canadian securities regulation Investment Industry Regulatory Organization of Canada Ontario Securities Commission Accredited investor Non-reporting issuer Investment Financial economics Finance
183	The Ontario Securities Commission OSC Bulletin September 25, 2014 Volume 37, Issue[removed]), 37 OSCB Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2014-09-29 10:57:05 Securities 73rd United States Congress Financial system Securities regulation in the United States Investment Industry Regulatory Organization of Canada Ontario Securities Commission Financial economics Securities Act United States securities law United States Securities and Exchange Commission Financial regulation
184	CSA Notice of Approval Amendments to National Instrument[removed]Marketplace Operation October 23, 2014 I. Introduction The Canadian Securities Administrators (CSA or we) have made amendments to National Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2014-10-23 12:01:16 Finance Financial markets Security Stock market Canadian securities regulation Securities Act Markets in Financial Instruments Directive Investment Industry Regulatory Organization of Canada Exempt market dealer Financial economics Financial regulation Financial system
185	For further information, please contact: June Yee Manager, Corporate Communications[removed]removed] Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-12-11 11:21:05 Securities Business Finance Investment Universal Market Integrity Rules Financial economics Financial regulation Investment Industry Regulatory Organization of Canada
186	Identifying Trading Groups Methodology and Results Trading Review and Analysis Investment Industry Regulatory Organization of Canada Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-09-15 10:31:04 Learning Financial markets Mathematical finance Support vector machine High-frequency trading Cross-validation Histogram Supervised learning Stability Statistics Stock market Machine learning
187	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Elsa Renzella Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-10-15 12:21:04 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
188	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-10-06 15:31:03 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
189	Administrative Notice General Contact: Doug Harris General Counsel & Corporate Secretary Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-09-12 12:01:03 Ombudsman for Banking Services and Investments Investment Industry Regulatory Organization of Canada Private law Ombudsman Board of directors Business Law Dispute resolution
190	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-09-29 15:16:03 Investment Industry Regulatory Organization of Canada Business Securities Self-regulatory organizations Financial regulation

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