Self-regulatory organization - PDFSEARCH.IO - Document Search Engine

Self-regulatory organization
Results: 1339

#	Item
441	ANNUAL REPORT 2010–2011 Building confidence in Canada’s capital markets Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-02-01 15:12:59 Financial regulation Investment Industry Regulatory Organization of Canada Securities Universal Market Integrity Rules Canada Canadian securities regulation Investment banking Corporate governance Self-regulatory organizations Financial economics Business
442	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Warren Funt Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-07-24 11:11:04 Financial regulation Investment Industry Regulatory Organization of Canada Securities Business Financial economics Due diligence Law Finance Self-regulatory organizations
443	Policy Bulletin #0262-P - Recognition of the MFDA as a Self-Regulatory Organization in Manitoba Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2008-04-21 12:39:22 Savella Stechishin Securities Commission Canada Business Mutual Fund Dealers Association Financial regulation Self-regulatory organization
444	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Carmen Crépin Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-07-31 17:01:07 Investment Industry Regulatory Organization of Canada Business Securities Self-regulatory organizations Financial regulation
445	Advocis 390 Queens Quay West, Suite 209 Toronto, ON M5V 3A2 T[removed][removed]F[removed] Add to Reading List Source URL: www.advocis.ca Language: English - Date: 2009-04-24 15:26:06 Investment Business Financial system Securities Financial adviser Self-regulatory organization Investment Industry Regulatory Organization of Canada Securities Commission Financial Regulator Financial regulation Financial economics Finance
446	MEDIA RELEASE Trinidad and Tobago Securities and Exchange Commission[removed]Dundonald Street Port of Spain September 16, 2013 Add to Reading List Source URL: www.ttsec.org.tt Language: English - Date: 2014-04-11 15:33:15 73rd United States Congress United States Securities and Exchange Commission Financial system Corporate crime U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Securities and Exchange Commission Securities market Self-regulatory organization United States securities law Financial regulation Business
447	Notice of Commission Approval of MOU between the CSA and the CIPF and Notice of Commission Approval of By-law No. 1 of the CIPF Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 17:34:53 Financial regulation Canadian securities regulation Self-regulatory organization Linear regulator Securities Commission of New Zealand Government Banking in Canada Canadian Investor Protection Fund Canadian law
448	Microsoft Word - ASC Review June[removed]response _Final_ - 2007Jul11 _Clean_.doc Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-01-11 15:24:49 Financial system Self-regulatory organizations 73rd United States Congress United States Securities and Exchange Commission Law Investment Industry Regulatory Organization of Canada Securities Act Franchising Financial regulation Business United States securities law
449	IIROC Strategic Plan[removed] IIROC[removed]Strategic Plan January 2011 IIROC Mandate Add to Reading List Source URL: 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
450	From: Ed Kynock [mailto:[removed]] Sent: Friday, February 25, [removed]:00 PM To: Marsha Manolescu Subject: FW: Corporate Submission[removed]Hi Marsha, Add to Reading List Source URL: www.finance.alberta.ca Language: English - Date: 2014-07-07 15:57:54 Business United States securities law Financial adviser Investment Advisor Registered representative Corporation Canadian securities regulation Self-regulatory organization Mutual fund Financial economics Investment Finance

UPDATE