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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


Administrative General Please distribute internally to: Institutional Legal and Compliance
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Document Date: 2013-12-09 15:41:04

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Company

Exemptions Granted IIROC / IIROC / CSC / Penson Financial Services Canada Inc. / /

Country

Canada / /

Currency

USD / /

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Facility

Canadian Securities Institute / /

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IndustryTerm

proficiency exemption applications / retail / portfolio management services / registration applications / exemption applications / /

Organization

Ontario Securities Commission / Canadian Securities Institute / IIROC Board / Directors Authority / Organization of Canada / District Council / IIROC Board of Directors / /

Person

Rule / Rosemary Chan / Where / Compliance / Louis Piergeti / Paul Riccardi / Kevin McCoy / /

/

Position

associate advising representative / Supervisor / Counsel / specific Dealer / Investment Manager / Manager designation / portfolio manager / executing broker / certain Dealer / Chartered Investment Manager / Vice President / Financial and Operation Compliance / Investment Representative / Senior Vice President Member / Senior Vice President / Enforcement / Registered Representative / Grant Exemptions Dealer / General / Dealer / General Counsel / Director / Market Regulation Policy / adviser / /

ProvinceOrState

Ontario / /

PublishedMedium

IIROC post / /

SocialTag