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Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
441	CSA Staff Notice[removed]Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category July 12, 2012 Introduction On September 2, 2011, Canadian Securities Administrators (CSA or we) published CSA Staff Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-07-07 12:02:21 Financial system Investment United States securities law Exempt market dealer Financial regulation Canadian securities regulation Investment Industry Regulatory Organization of Canada Financial Industry Regulatory Authority Broker-dealer Financial economics Self-regulatory organizations Finance
442	News Release - MFDA sets date for Hearing on the Merits in the Matter of Jeffrey Levy Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2012-01-04 16:31:33 Financial economics Business Financial system Finance Mutual Fund Dealers Association Investment Industry Regulatory Organization of Canada Hearing
443	Rules Notice Concept Paper Request for Comments Dealer Member Rules Please distribute internally to: Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-07-07 12:02:20 Self-regulatory organizations United States securities law Financial regulation Financial services Exempt market dealer Canadian Investor Protection Fund Investment Industry Regulatory Organization of Canada Canadian securities regulation Financial Industry Regulatory Authority Financial economics Finance Business
444	January 18, 2013 Louis Piergeti Vice President, Financial and Operations Compliance Investment Industry Regulatory Organization of Canada 121 King Street West, Suite 2000 Toronto, ON M5H 3T9 Add to Reading List Source URL: faircanada.ca Language: English - Date: 2013-12-18 18:13:50 Economics Financial regulation Investment Industry Regulatory Organization of Canada Securities Outsourcing Due diligence Business Finance Law
445	October 11, 2012 Rossana Di Lieto Vice President, Registration & Complaints Investment Industry Regulatory Organization of Canada Suite 2000, 121 King Street West Toronto, ON M5H 3T9 Add to Reading List Source URL: faircanada.ca Language: English - Date: 2013-12-18 18:11:58 Business Financial regulation Self-regulatory organizations Financial markets Canadian Investor Protection Fund Exempt market dealer Financial Industry Regulatory Authority Canadian securities regulation Investment Industry Regulatory Organization of Canada Financial economics Investment Finance
446	October 4, 2012 Joe Yassi Vice President, Business Conduct Compliance Investment Industry Regulatory Organization of Canada Suite 2000, 121 King Street West Toronto, ON M5H 3T9 Add to Reading List Source URL: faircanada.ca Language: English - Date: 2013-12-18 18:11:55 Financial services Funds Financial markets Hedge fund Leverage Ombudsman for Banking Services and Investments Exchange-traded fund Collective investment scheme Canadian securities regulation Financial economics Investment Finance
447	November 12, 2012 Robert Keller, Policy Counsel Investment Industry Regulatory Organization of Canada 121 King Street West, Suite 2000 Toronto, ON M5H 3T9 Sent via e-mail to: [removed] Add to Reading List Source URL: faircanada.ca Language: English - Date: 2013-12-18 18:12:06 Auditing Corporate governance United States securities law Money Financial adviser Finance United States corporate law Business
448	March 5, 2014 British Columbia Securities Commission Alberta Securities Commission Financial and Consumer Affairs Authority of Saskatchewan The Manitoba Securities Commission Ontario Securities Commission Add to Reading List Source URL: faircanada.ca Language: English - Date: 2014-03-06 11:59:27 Investment Business United States securities law Securities Canadian law Canadian securities regulation Exempt market dealer Investment Industry Regulatory Organization of Canada Canadian Securities Administrators Financial economics Financial regulation Finance
449	March 9, 2013 Rossana Di Lieto Vice President, Registration, Complaints & Inquiries Investment Industry Regulatory Organization of Canada Suite 2000, 121 King Street West Toronto, ON M5H 3T9 Add to Reading List Source URL: faircanada.ca Language: English - Date: 2013-12-18 18:13:27 Business Professional certification in finance Financial adviser Financial planner Canadian securities regulation Investment Industry Regulatory Organization of Canada Certified Financial Planner Canadian Investment Manager Financial economics Finance Investment
450	June 21, 2012 Robert Keller Policy Counsel, Member Regulation Policy Investment Industry Regulatory Organization of Canada Suite 1600, 121 King Street West Toronto, ON M5H 3T9 Add to Reading List Source URL: faircanada.ca Language: English - Date: 2013-12-18 18:12:32 Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Fiduciary Collection agency Law Financial economics Financial regulation

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