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Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
581	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-11-13 14:50:03 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
582	INTEGRITY AND CONFIDENCE IN INFORMATION MANAGEMENT & SECURITY AUGUST 2013 Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-09-04 09:59:58 Computer security Crime prevention National security Security controls ISO/IEC 27001 Investment Industry Regulatory Organization of Canada Security Data security Computer network security
583	IN THE MATTER OF THE SECURITIES ACT, S.N.B. 2004, c. S-5.5 AS AMENDED (the ACT) AND IN THE MATTER OF INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) Add to Reading List Source URL: www.ocrcvm.ca Language: English - Date: 2012-06-18 15:05:19 Investment Industry Regulatory Organization of Canada Securities Financial system Finance United States securities law Autorité des marchés financiers Securities Commission Securities Act Self-regulatory organizations Financial economics Financial regulation
584	INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (“IIROC”) HUMAN RESOURCES AND PENSION COMMITTEE CHARTER Mandate The Human Resources and Pension Committee (the “Committee”) is Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-01-24 11:39:17 Management Business Private law Structure Board of directors Audit committee Corporations law Committees Corporate governance
585	Rules Notice Request for Comments Dealer Member Rules and UMIR Please distribute internally to: Legal and Compliance Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-02-12 15:06:08 Financial system Economy of Canada Universal Market Integrity Rules Investment Industry Regulatory Organization of Canada Canadian securities regulation Financial economics Securities Act U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Self-regulatory organizations United States securities law Financial regulation
586	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: www.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
587	INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA FINANCIAL STATEMENTS March 31, 2013 Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-08-30 15:17:46 Financial statements Fund accounting Income statement Net asset value Cash flow statement Balance sheet Canadian securities regulation Revenue Universal Market Integrity Rules Accountancy Finance Business
588	Notice on Best Execution Survey Results Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-03-28 10:31:04 Financial markets Economy of Canada Universal Market Integrity Rules Financial economics Best execution Investment Industry Regulatory Organization of Canada Market maker Finance Financial regulation Self-regulatory organizations Financial system
589	IIROC Strategic Plan[removed] Updated May, 2014 IIROC[removed]Strategic Plan Add to Reading List Source URL: www.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
590	Administrative Notice Request for Comments Dealer Member Rules Contact: Keith Persaud Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-06-16 13:51:04 Investment Industry Regulatory Organization of Canada Financial economics Canadian securities regulation Fee Value added tax Financial system Securities Business Financial regulation

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