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Investment Industry Regulatory Organization of Canada
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311	IN THE MATTER OF THE SECURITIES ACT, S.N.B. 2004, c. S-5.5 AS AMENDED (the ACT) AND IN THE MATTER OF INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-01-11 15:28:28 Investment Industry Regulatory Organization of Canada Securities Financial system Finance United States securities law Autorité des marchés financiers Securities Commission Securities Act Self-regulatory organizations Financial economics Financial regulation
312	Advocis 390 Queens Quay West, Suite 209 Toronto, ON M5V 3A2 T[removed][removed]F[removed] Add to Reading List Source URL: www.advocis.ca Language: English - Date: 2010-09-02 14:46:24 Business Financial adviser Financial planner Investment Industry Regulatory Organization of Canada Registered Investment Advisor Exempt market dealer Finance Financial economics Investment
313	INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (“IIROC”) CORPORATE GOVERNANCE COMMITTEE CHARTER Mandate The Corporate Governance Committee (the “Committee”) is appointed by the Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-05-13 16:33:17 Management Corporate governance Private law Structure Board of directors Governance Office of Congressional Ethics Audit committee Corporations law Committees Business
314	From: Robinson Manson [mailto:[removed]] Sent: Friday, February 25, [removed]:09 AM To: Marsha Manolescu; [removed] Subject: Response letter regarding advisors incorporation D Add to Reading List Source URL: www.finance.alberta.ca Language: English - Date: 2014-07-07 15:57:55 Investment Financial adviser Investment Industry Regulatory Organization of Canada Investment Advisor Corporation Mutual fund Financial economics Finance Business
315	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Media Contact: Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-08-07 12:51:05 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
316	FACT SHEET November 2013 IIROC Financial Literacy and Investor Education Initiatives Mandate • Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-11-01 10:20:03 Financial economics Economics Investor education Social and Enterprise Development Innovations Business Investment Canadian Investment Manager Financial regulation Investment Industry Regulatory Organization of Canada Securities
317	Rule Notice Guidance Note Please distribute internally to: Corporate Finance Institutional Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-12-09 15:46:03 Financial economics Financial regulation Investment Industry Regulatory Organization of Canada Securities Auditing Regulatory compliance Universal Market Integrity Rules Internal audit Audit Business Finance Self-regulatory organizations
318	Table of Contents \| MDA \| Financials \| Security Insert ANNUAL REPORT 2012 – 2013 PROTECTING INVESTORS AND FOSTERING FAIR, EFFICIENT AND COMPETITIVE CAPITAL MARKETS ACROSS CANADA Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-09-04 10:00:09 Business Investment Self-regulatory organizations Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Exempt market dealer High-frequency trading International Organization of Securities Commissions Financial economics Finance Financial regulation
319	Microsoft Word - IIROC Strategic Plan - Jan[removed]As Approved by Board.doc Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-01-31 08:00:30 Investment Industry Regulatory Organization of Canada Securities Exempt market dealer Business Regulatory compliance Financial system Canadian securities regulation Financial economics Financial regulation Self-regulatory organizations
320	INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA MANAGEMENT DISCUSSION AND ANALYSIS Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-08-30 15:18:38 Financial services Securities Funds Economy of Canada Universal Market Integrity Rules Fee Investment Industry Regulatory Organization of Canada Net asset value Financial economics Investment Finance

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