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Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
621	SWJ Keynote Address – IIROC’s Regulatory Agenda Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-04-16 10:40:04 Investment Financial regulation Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Late-2000s financial crisis MF Global Exempt market dealer Non-reporting issuer Economics Financial economics Economic history
622	Susan Wolburgh Jenah President and CEO Susan Wolburgh Jenah is President and Chief Executive Officer of the Investment Industry Regulatory Organization of Canada (IIROC), a position she has held since the regulator was e Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-09-27 11:52:43 Osgoode Hall Law School International Organization of Securities Commissions Finance Business Economics Financial regulation Securities Investment Industry Regulatory Organization of Canada
623	Getting help with your complaint Add to Reading List Source URL: www.obsi.ca Language: English - Date: 2013-05-22 17:11:11 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
624	Rules Notice Request for Comments Dealer Member Rules Contact: Joe Yassi Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-03-24 11:01:05 Public policy United States administrative law Investment Industry Regulatory Organization of Canada Comment Financial economics Government Information Political science Public comment
625	PDF Document Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-06-29 14:10:38 Legal ethics Corporate governance Corporations law Investment Industry Regulatory Organization of Canada Securities Conflict of interest Board of directors Business Law Private law
626	Administrative Notice General Dealer Member Rules UMIR Please distribute internally to: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-06-02 14:11:03 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
627	IIROC Strategic Plan[removed] IIROC[removed]Strategic Plan January 2011 IIROC Mandate Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-05-22 15:28:23 Business Investment Finance Investment Industry Regulatory Organization of Canada Securities Financial Industry Regulatory Authority Exempt market dealer Regulatory compliance Canadian securities regulation Self-regulatory organizations Financial economics Financial regulation
628	Microsoft Word - B IIROC Strategy Document - December[removed]Final dh.doc Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-05-22 15:22:50 Financial regulation Self-regulatory organizations Business Investment Industry Regulatory Organization of Canada Securities Economics Universal Market Integrity Rules Regulatory capture Financial adviser Financial economics Finance Investment
629	Administrative General Please distribute internally to: Institutional Legal and Compliance Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-12-09 15:41:04 United States Securities and Exchange Commission Business Securities Financial system Canadian securities regulation Investment Industry Regulatory Organization of Canada Universal Market Integrity Rules Securities Act Exempt market dealer Financial economics Canadian Investment Manager Professional certification in finance
630	Education Notice Contact: Warren Funt Vice President Western Canada[removed] Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-04-15 11:56:03 Financial regulation Investment Industry Regulatory Organization of Canada Securities TSX Venture Exchange Economy of Canada Canada Toronto Stock Exchange

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