Investment Industry Regulatory Organization of Canada

Results: 695



#Item
371CNSX / Stock market / Financial system / Financial economics / Business / Financial regulation / Investment Industry Regulatory Organization of Canada / Securities

Marketplace Notice Please distribute internally to: Legal and Compliance Trading Desk

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Source URL: iiroc.ca

Language: English - Date: 2013-04-08 15:45:04
372Business / Financial regulation / Investment Industry Regulatory Organization of Canada / Securities

enforcement_process_chart.indd

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Source URL: iiroc.ca

Language: English - Date: 2014-04-15 11:51:04
373Investment Industry Regulatory Organization of Canada / Securities / Stock market / TSX Venture Exchange / Canadian securities regulation / Financial economics / Economy of Canada / Canada / Financial regulation

Marketplace Notice Please distribute internally to: Legal and Compliance Trading Desk

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Source URL: iiroc.ca

Language: English - Date: 2014-01-09 10:41:03
374Law / Self-regulatory organizations / Financial regulation / Investment Industry Regulatory Organization of Canada / Securities / Option / Corporation / Financial adviser / Financial economics / Business / Investment

Consultation Comment Letter - Gordon Newel - March 2, 2011

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Source URL: www.finance.alberta.ca

Language: English - Date: 2014-07-07 15:57:56
375Financial regulation / Finance / Investment / Canadian law / Canadian securities regulation / Financial adviser / Financial planner / Autorité des marchés financiers / Investment Industry Regulatory Organization of Canada / Financial economics / Business / Self-regulatory organizations

Letter to CSA re Financial Planning - Nov. 11, 2008

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Source URL: www.advocis.ca

Language: English - Date: 2008-11-17 14:57:04
376Financial economics / Investment Industry Regulatory Organization of Canada / Stock market / TSX Venture Exchange / Economy of Canada / Canada / CNSX

Marketplace Notice Please distribute internally to: Legal and Compliance Trading Desk

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Source URL: iiroc.ca

Language: English - Date: 2013-07-09 09:25:03
377Computer security / Crime prevention / National security / Security controls / ISO/IEC 27001 / Investment Industry Regulatory Organization of Canada / Security / Data security / Computer network security

INTEGRITY AND CONFIDENCE IN INFORMATION MANAGEMENT & SECURITY AUGUST 2013

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Source URL: iiroc.ca

Language: English - Date: 2013-09-04 09:59:58
378Securities / Financial system / Finance / Autorité des marchés financiers / Securities Act / Securities Commission / Financial economics / Financial regulation / Investment Industry Regulatory Organization of Canada

Microsoft Word - 5701_iiroc.doc

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Source URL: www.msc.gov.mb.ca

Language: English - Date: 2013-03-06 16:17:31
379Securities / Financial system / Canadian Investment Manager / Professional certification in finance / Universal Market Integrity Rules / Investment Industry Regulatory Organization of Canada / Canadian securities regulation / Securities Act / Exempt market dealer / Financial economics / Business / United States Securities and Exchange Commission

Administrative Notice General Dealer Member Rules UMIR Please distribute internally to:

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Source URL: iiroc.ca

Language: English - Date: 2014-06-02 14:11:03
380Financial statements / Fund accounting / Income statement / Net asset value / Cash flow statement / Balance sheet / Canadian securities regulation / Revenue / Universal Market Integrity Rules / Accountancy / Finance / Business

INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA FINANCIAL STATEMENTS March 31, 2013

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Source URL: iiroc.ca

Language: English - Date: 2013-08-30 15:17:46
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