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Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
251	IN THE MATTER OF THE SECURITIES ACT, S.N.W.T. 2008, c. 10, AS AMENDED - and - Transitional Relief from the Requirement to Provide Relationship Disclosure Information Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2013-10-10 13:33:05 Investment Industry Regulatory Organization of Canada Securities Financial system Finance Securities Act Financial economics United States securities law Financial regulation
252	Applicable toward CPD Requirement September 9 & 10, 2014, Ottawa Two-Day Event! 5th Mini-LLB Add to Reading List Source URL: www.federatedpress.com Language: English - Date: 2014-08-14 14:25:14 Investment Industry Regulatory Organization of Canada Natural justice Law Administrative law Self-regulatory organizations
253	Kenmar Associates The Voice of the Retail Investor Rossana Di Lieto Vice President, Registration, Complaints & Inquiries Investment Industry Regulatory Organization of Canada Suite 2000, 121 King Street West Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-01-15 12:40:03 Investment Dispute resolution Financial adviser Ombudsman for Banking Services and Investments Investment Industry Regulatory Organization of Canada Fiduciary Consumer protection Law Financial economics Finance
254	OSC Bulletin Volume 37, Issue 34 (August 21, 2014) Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2014-08-21 11:48:50 Financial regulation 73rd United States Congress Ontario Securities Commission Financial system Securities Act Canadian Imperial Bank of Commerce Investment Industry Regulatory Organization of Canada Economy of Canada United States Securities and Exchange Commission United States securities law
255	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Warren Funt Add to Reading List Source URL: www.ocrcvm.ca Language: English - Date: 2014-08-21 16:51:05 Financial economics Financial system Business Securities Financial regulation Investment Industry Regulatory Organization of Canada
256	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Carmen Crépin Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-08-13 16:06:04 Securities Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
257	Guidance Respecting the Expansion of Single-Stock Circuit Breakers Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-07-25 10:21:07 Internet privacy Financial regulation Aviation Oneworld Universal Market Integrity Rules Secure communication Investment Industry Regulatory Organization of Canada Mail Computing Email Internet Electronic documents
258	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: 2014-08-01 15:21:03 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
259	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-08-07 12:51:07 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Finance Investment Self-regulatory organizations Securities Financial regulation
260	Education Notice Contact: Adrian Carter Director, Educational Services[removed] Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-08-11 14:51:01 Investment Financial regulation Investment Industry Regulatory Organization of Canada Securities Stock market Electronic trading Trading room Financial economics Finance Financial markets

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