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Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
281	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 15:21:04 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
282	Ontario Ministry of Finance - Financial Planning Roundtable Sessions Session I – Friday, January 10, 2014 Humber Room – MacDonald Block, 900 Bay Street, Toronto LIST OF PARTICIPANTS 1 2 Add to Reading List Source URL: www.fin.gov.on.ca Language: English - Date: 2014-01-31 13:20:16 Professional certification in finance Financial adviser Financial planner Canadian securities regulation Investment Industry Regulatory Organization of Canada Certified Financial Planner Mutual fund Financial economics Investment Finance
283	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: 2014-07-31 17:01:07 Investment Industry Regulatory Organization of Canada Business Securities Self-regulatory organizations Financial regulation
284	Application: In the Matter of Marc McQuillen Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2014-08-19 10:19:27 Universal Market Integrity Rules Expungement Law Business Financial regulation Investment Industry Regulatory Organization of Canada Securities
285	ENHANCING PROFICIENCY AND PROMOTING HIGH STANDARDS Improving proficiency standards is essential to enhancing professional standards within the industry and building investor confidence. IIROC-regulated retail investment Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-09-08 12:56:04 Investment Financial regulation Investment Industry Regulatory Organization of Canada Securities Money Financial adviser Canadian securities regulation Canadian Securities Institute Investment Advisor Finance Financial economics Business
286	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Warren Funt Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-09-10 16:51:04 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
287	INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (“IIROC”) FINANCE AND AUDIT COMMITTEE CHARTER Mandate The Finance and Audit Committee (the “Committee”) is appointed by the Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-05-13 16:21:01 Risk Audit committee Internal audit Audit Materiality Internal control External auditor Financial statement Corporate governance Auditing Accountancy Business
288	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Warren Funt Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-07-24 11:11:04 Financial regulation Investment Industry Regulatory Organization of Canada Securities Business Financial economics Due diligence Law Finance Self-regulatory organizations
289	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-08-06 15:46:07 Investment Industry Regulatory Organization of Canada Business Self-regulatory organizations Securities Financial regulation
290	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 16:06:05 Securities Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada

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