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Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
591	MESSAGE FROM THE CHAIR In our role as directors we are focused on ensuring that we keep pace with evolving changes while being cognizant of the challenges that the investment industry and Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-08-30 15:19:32 Business Securities Financial regulation Investment Industry Regulatory Organization of Canada
592	Microsoft Word - PAPERDOCS-#[removed]v2-08_22-502_Adoption_BCI_Registration_by_IIROC.DOC Add to Reading List Source URL: www.ocrcvm.ca Language: English - Date: 2012-06-18 15:05:21 Finance Financial system Investment 73rd United States Congress Securities Act United States Securities and Exchange Commission Investment Industry Regulatory Organization of Canada Exempt market dealer Investment Advisers Act Financial economics United States securities law Financial regulation
593	Investment Dealers Association of Canada Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-11-13 16:23:09 Pi Complaint Financial economics Law Financial system Dispute resolution Ombudsman for Banking Services and Investments Investment Industry Regulatory Organization of Canada
594	ENHANCING PROFICIENCY AND PROMOTING HIGH STANDARDS Improving proficiency standards is essential to enhancing professional standards within the industry and building investor confidence. IIROC-regulated retail investment Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-07-17 09:56:05 Investment Financial regulation Investment Industry Regulatory Organization of Canada Securities Money Financial adviser Canadian securities regulation Canadian Securities Institute Investment Advisor Finance Financial economics Business
595	Microsoft Word - Document6 Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-04-23 10:17:04 Financial regulation Banking in Canada Canadian Investor Protection Fund Investment Industry Regulatory Organization of Canada Canada Deposit Insurance Corporation Security Deposit insurance Short Financial institution Financial economics Finance Business
596	Rule Notice Technical Please distribute internally to: Operations Regulatory Accounting Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-07-02 11:56:05 Finance Financial regulation Investment Industry Regulatory Organization of Canada Securities Due diligence Financial economics Franchising Law Contract law Business
597	Administrative Notice Request for Comments Please distribute internally to: Corporate Finance Institutional Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-08-05 15:56:05 Finance Investment Education Financial adviser Investment Industry Regulatory Organization of Canada Canadian Securities Institute LLQP Patent attorney Financial Industry Regulatory Authority Self-regulatory organizations Financial economics Business
598	Table of Contents Enforcement REPORT Protecting Investors and Fostering Fair, Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-04-15 10:26:04 Self-regulatory organizations Business Financial regulation Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Universal Market Integrity Rules Financial adviser Securities Commission of New Zealand Financial economics Investment Finance
599	Rule Notice Technical Please distribute internally to: Operations Regulatory Accounting Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-06-05 10:36:04 Finance Financial regulation Investment Industry Regulatory Organization of Canada Securities Due diligence Financial economics Franchising Law Contract law Business
600	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-07-18 08:56:04 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada

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