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Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
351	Rule Notice Guidance Note Dealer Member Rules UMIR Please distribute internally to: Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-12-12 11:36:03 Securities Universal Market Integrity Rules Canadian securities regulation Canada Regulatory compliance Regulatory risk differentiation Business Exempt market dealer Financial economics Financial regulation Investment Industry Regulatory Organization of Canada
352	Microsoft Word - LD T Director Code of Conduct december 2012 bkln doc.docx Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-04-16 16:31:54 Corporations law Corporate governance Financial regulation Investment Industry Regulatory Organization of Canada Board of directors Duty of confidentiality Conflict of interest Fiduciary Law Legal ethics Common law
353	Agencies Committee Submission - Feb. 23, 2009 Add to Reading List Source URL: www.advocis.ca Language: English - Date: 2009-03-25 11:18:44 Financial regulation Securities Financial adviser Investment Financial planner Securities Commission Investment Industry Regulatory Organization of Canada Canadian securities regulation Dodd–Frank Wall Street Reform and Consumer Protection Act Financial economics Finance Business
354	PDF Document Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-06-29 14:10:38 Legal ethics Corporate governance Corporations law Investment Industry Regulatory Organization of Canada Securities Conflict of interest Board of directors Business Law Private law
355	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Elsa Renzella Add to Reading List Source URL: 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
356	Rules Notice Technical UMIR Contact: Kevin McCoy Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-08-13 12:06:04 Email Business Technology Economy of Canada Universal Market Integrity Rules Investment Industry Regulatory Organization of Canada
357	Marketplace Notice Please distribute internally to: Legal and Compliance Trading Desk Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-04-16 16:01:04 Investment Industry Regulatory Organization of Canada Securities Stock market Canada Canadian securities regulation TSX Venture Exchange Instinet Economy of Canada Financial economics Financial regulation
358	IIROC Strategic Plan[removed] Updated May, 2014 IIROC[removed]Strategic Plan Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-06-02 12:56:05 Finance Business Investment Industry Regulatory Organization of Canada Securities Canadian Investor Protection Fund Exempt market dealer International Organization of Securities Commissions Canadian securities regulation Financial regulation Financial economics Investment
359	SWJ Keynote Address – IIROC’s Regulatory Agenda Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-03-31 11:46:04 Business Financial adviser Financial planner Investment Industry Regulatory Organization of Canada Regulatory compliance Regulatory risk differentiation Canadian Investment Manager Exempt market dealer Financial economics Finance Investment
360	Susan Wolburgh Jenah President and CEO Susan Wolburgh Jenah is President and Chief Executive Officer of the Investment Industry Regulatory Organization of Canada (IIROC), a position she has held since the regulator was e Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-09-27 11:52:43 Osgoode Hall Law School International Organization of Securities Commissions Finance Business Economics Financial regulation Securities Investment Industry Regulatory Organization of Canada

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