Investment Industry Regulatory Organization of Canada - PDFSEARCH.IO - Document Search Engine

Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
71	IIROC Sanction Guidelines February 2, 2015 Application Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-01-13 10:21:25 Business Misconduct Investment Industry Regulatory Organization of Canada Financial regulation
72	Microsoft Word - CSA response to IIAC January[removed]docx Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2015-01-28 12:48:49 Financial regulation Investment Industry Regulatory Organization of Canada Business Securities Commission Mutual Fund Dealers Association Finance Financial system Canadian securities regulation Exempt market dealer Financial economics Securities Self-regulatory organizations
73	ANNUAL REPORT 2013–2014 Protecting investors and fostering fair, efficient and competitive capital markets across Canada. IIROC’s National Advisory Add to Reading List Source URL: www.iiroc.designwerke.com Language: English - Date: 2014-08-26 11:12:38 Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation High-frequency trading Ombudsman for Banking Services and Investments Exempt market dealer Non-reporting issuer Financial economics Finance Business
74	CDOR / CORRA Administrator Tender Notice June 2, 2014 The seven contributing banks to the Canadian Dollar Offered Rate (CDOR) have implemented a Code of Conduct for CDOR. The Code of Conduct was developed by the contribu Add to Reading List Source URL: iiac.ca Language: English - Date: 2014-10-29 10:21:40 Financial economics Financial system Interest rates International Organization of Securities Commissions Official bank rate Investment Industry Regulatory Organization of Canada Repurchase agreement Securities Commission Financial regulation Finance International finance institutions
75	Rules Notice Notice of Approval/Implementation Dealer Member Rules Please distribute internally to: Internal Audit Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-01-19 13:01:01 Financial economics Financial markets Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Short International Financial Reporting Standards Financial regulation Business Finance
76	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-01-23 16:01:04 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
77	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-01-23 13:06:04 Business Financial regulation Investment Industry Regulatory Organization of Canada Securities
78	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-01-16 17:01:04 Securities Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
79	For further information, please contact: June Yee Manager, Corporate Communications[removed]removed] Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-01-19 12:46:00 Financial economics Canadian securities regulation Business Financial system Finance Financial regulation Investment Industry Regulatory Organization of Canada Securities
80	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-01-22 15:41:03 Investment Industry Regulatory Organization of Canada Business Securities Self-regulatory organizations Financial regulation

UPDATE