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CSA Notice and Request for Comment: Proposed Amendments to NI[removed]Marketplace Operation and NI[removed]Trading Rules
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Document Date: 2014-04-24 11:44:00

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File Size: 821,48 KB

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City

NI / Victoria / Toronto / /

Company

Inter-Dealer Bond Brokers / CDS Innovations Inc. / Fionnuala Martin and Associates / Unlisted Debt Securities / Depository Services Inc. / Dealers of NI 21 / CanPX Inc. / Bloomberg / Over-The-Counter Securities / Microsoft / Comments Bonnie Kuhn / /

Continent

Europe / /

Country

United States / Canada / /

/

Facility

square Victoria / /

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IndustryTerm

by-law / auxiliary systems / marketplace systems / information technology systems / technology requirements / risk management / retail investors / retail clients / marketplace technology requirements / fixed income products / changes to their systems / retail desk prices / investment products / material systems / rules regulating alternative trading systems / real-time showing / /

Organization

Ontario Securities Commission / British Columbia Securities Commission / Prince Edward Island Nova Scotia Securities Commission Securities Commission of Newfoundland and Labrador / RR’s commission / European Parliament / U.S. Securities and Exchange Commission / Department of Justice / FINRA / Financial and Consumer Services Commission / Markets Authority / Alberta Securities Commission / European Commission / European Securities and Markets Authority / Gross commission / Fixed Income Price Service / Comments Authority of the Proposed Amendments In / Consumer Affairs Authority of Saskatchewan Manitoba Securities Commission Ontario Securities Commission Autorité / /

Person

Autorité / Rule / Bourse Montréal / Sonali GuptaBhaya / Legal Alberta / Bonnie Kuhn / /

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Position

Counsel / Manager / Maxime Lévesque Policy Advisor / Serge Boisvert Senior Policy Advisor / bond broker / Accountant / consultant / Secretary / forward in the development / Superintendent / Governor / Registered Representative / Dealer / Anne-Marie Beaudoin Corporate Secretary / Me Anne-Marie Beaudoin Corporate Secretary / /

ProvinceOrState

Newfoundland / Victoria / Ontario / /

Technology

CRM / information technology / information processor / information processors / /

URL

www.sfsc.gov.sk.ca / www.msc.gov.mb.ca / http /

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