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Investment Industry Regulatory Organization of Canada
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#	Item
481	Microsoft Word - 33_109f2_rev_11_04_15.doc Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:48 Ontario Securities Commission British Columbia Securities Commission Autorité des marchés financiers Securities Commission Financial economics Investment Industry Regulatory Organization of Canada Self-regulatory organization United States Securities and Exchange Commission Securities Exchange Act Financial regulation United States securities law Financial system
482	UMIR Disciplinary Sanction Guidelines April 1, 2009 -2 - Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-01-10 15:42:01 Canadian law Canada Canadian securities regulation Financial regulation Investment Industry Regulatory Organization of Canada Appeal Law Economy of Canada Universal Market Integrity Rules
483	Administrative Notice General Contact: Maysar Al-Samadi Vice President, Professional Standards Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-05-22 15:26:28 Securities Standardized tests Psychometrics Test Business continuity planning Broadridge Financial Solutions Human behavior Evaluation Education Financial regulation Investment Industry Regulatory Organization of Canada
484	Microsoft Word - 33_109f3_rev_11_04_15.doc Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:48 Government Autorité des marchés financiers British Columbia Securities Commission Ontario Securities Commission United States securities law Securities Commission Investment Industry Regulatory Organization of Canada United States corporate law Securities Exchange Act Financial regulation Financial system Self-regulatory organizations
485	INVESTMENT DEALERS ASSOCIATION OF CANADA Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-01-09 14:02:37 Internet privacy Business Financial regulation Investment Industry Regulatory Organization of Canada Securities
486	INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA New Member Applicant Fee Guideline for FY2015 FIRM NAME: 1) ENTRANCE FEE CALCULATION Add to Reading List Source URL: www.iiroc.ca - Date: 2014-05-02 10:38:10
487	A GUIDE FOR INVESTORS Getting help with your complaint Making a complaint This guide outlines what to do if you believe you were unfairly treated or given Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 17:48:29 Securities Financial economics Investment Industry Regulatory Organization of Canada Financial regulation Law Ontario Securities Commission Ombudsman Business Dispute resolution Ombudsman for Banking Services and Investments Self-regulatory organizations
488	Selecting Your Investment Advisor Before you engage an advisor, make sure you know more about the individual than just their name and business title. There are many business titles in use within the investment industry ( Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-10-30 09:32:31 Investment Money Financial adviser Investment Industry Regulatory Organization of Canada Investment Advisor Financial planner Canadian securities regulation Finance Business Financial economics
489	Investment Certifications and IIROC’s Glossary of Financial Certifications If an advisor represents that she or he has special expertise, a certification or a financial designation, you should make sure you understand Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-10-30 09:32:16 Financial economics Professional certification in finance Investment Industry Regulatory Organization of Canada Public key certificate Finance Canadian Investment Manager Financial adviser Standards Business Professional certification
490	IMPORTANT INFORMATION IIROC does NOT approve or endorse any financial designation or certification. Inclusion in IIROC’s Glossary of Financial Certifications does NOT imply that IIROC considers the certificate or desig Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-10-30 09:31:56 Securities Professional certification Finance Designated landmark Business Canadian Investment Manager Standards Financial regulation Investment Industry Regulatory Organization of Canada

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