Alberta Provincial Court / Financial Compliance Department / Canadian Securities Institute / ALBERTA SECURITIES COMMISSION / Registration Department / CSA / Central Complaints Bureau / Enforcement Department / Investment Dealers Association of Canada Prairie Regional office EXECUTIVE SUMMARY Between / Prairie Regional Office / Investment Dealers Association / District Council / FC Department / /
Person
Regulation / John James / /
Position
Manager review and revisions / SC Department Manager / experienced Enforcement Counsel / Head Office / compliance officer / additional full-time sales compliance officer to the SC Department / Chief Financial Officers / Manager review / chair / Vice-President / Member / Sales Compliance Department Manager / CFO / full-time manager to the SC Department / SC Manager / Registration Manager / Judge / /
ALBERTA SECURITIES COMMISSION 2003 Oversight Audit of the Investment Dealers Association of Canada Prairie Regional Office EXECUTIVE SUMMARY