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Investment Industry Regulatory Organization of Canada
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#	Item
551	Microsoft Word - IIROC - Corporate Governance Review Report.DOC Add to Reading List Source URL: www.ocrcvm.ca Language: English - Date: 2012-10-16 14:55:56 Business Private law Management Law Auditing Investment Industry Regulatory Organization of Canada Canadian securities regulation Audit committee Board of directors Corporate governance Corporations law Committees
552	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Jeff Kehoe Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-05-22 15:30:36 Financial economics Financial system Business Finance Investment Securities Financial regulation Investment Industry Regulatory Organization of Canada
553	INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (“IIROC”) FINANCE AND AUDIT COMMITTEE CHARTER Mandate The Finance and Audit Committee (the “Committee”) is appointed by the Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-05-13 16:21:01 Risk Audit committee Internal audit Audit Materiality Internal control External auditor Financial statement Corporate governance Auditing Accountancy Business
554	Administrative Notice General Dealer Member Rules UMIR Please distribute internally to: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-05-22 13:06:03 Securities 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
555	Microsoft Word - IIROC - Corporate Governance Review Report.DOC Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-10-16 12:52:46 Business Private law Management Law Auditing Investment Industry Regulatory Organization of Canada Canadian securities regulation Audit committee Board of directors Corporate governance Corporations law Committees
556	2012 – 2013 STRATEGIC PLAN SCORECARD GOAL 1 w Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-08-30 15:16:07 Corporate governance Auditing Financial economics Finance Regulatory compliance Investment Industry Regulatory Organization of Canada Business
557	Education Notice Contact: Adrian Carter Director, Educational Services[removed] Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-06-13 13:05:03 Securities Canadian securities regulation Canadian Securities Institute Business Professional certification in finance Financial system Canadian Investment Manager Financial economics Financial regulation Investment Industry Regulatory Organization of Canada
558	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: www.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
559	IIROC Oversight Review Report 2009 Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-01-11 15:27:46 Business continuity planning Business Finance Culture Financial regulation Investment Industry Regulatory Organization of Canada Securities
560	Universal Market Integrity Rules Rules & Policies 7.11 Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-09-04 11:54:05 Financial system Self-regulatory organizations Business Economy of Canada Universal Market Integrity Rules Investment Industry Regulatory Organization of Canada Futures contract Settlement Securities Financial economics Finance

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