Job Description Compliance Officer, Investment Banking and Control Room Cormark Securities Inc. is a leading independent investment dealer focused on providing comprehensive coverage of Canadian listed companies to domes

Source URL: www.cormark.com

• Investment banking
• Regulatory compliance
• Compliance and ethics program
• Guidepoint

Job Description Compliance Officer, Business Conduct Compliance Cormark Securities Inc. is a leading independent investment dealer focused on providing comprehensive coverage of Canadian listed companies to domestic and

Source URL: www.cormark.com

• Regulatory compliance
• United States securities law
• Law
• Chief compliance officer
• Financial Industry Regulatory Authority
• Canadian securities regulation
• Economy
• Regulation
• Compliance and ethics program
• Cayman Islands Directors Registration and Licensing Law

PRESS RELEASE 2 May 2011 Gearing up for UCITS IV The countdown to the implementation of Undertakings for Collective Investment in Transferable Securities (UCITS) IV in July 2011 is compelling the investment

Source URL: mfia.org.mt

• Economy
• Investment
• European Union law
• Undertakings for Collective Investment in Transferable Securities Directive
• Funds
• Investment fund
• Malta

Leading Canadian Investment Funds Will Oppose Sino-Forest Reorganization Plan Releasing Auditors, Underwriters Quick settlement could leave many investors without compensation, damage trust in securities safety net in Ca

Source URL: www.neiinvestments.com

PILLAR 3, STEWARDSHIP CODE AND REMUNERATION DISCLOSURE The Capital Requirements Directive (‘CRD’) and Undertakings for Collective Investment in Transferable Securities (‘UCITs’) Directive of the European Union

Source URL: www.gffunds.com

Section 2 Spouse or Adult Interdependent Partner (if applicable) Important Note: Please attach actual, detailed investment statements (RRSP&Spousal/RSP/LIRA/Securities/TFSA/GICs/Bonds, etc.) showing allspecific investmen

Source URL: www.ethicscommissioner.ab.ca

Section 3 Minor Children (under the age of 18) Please attach actual, detailed investment statements (RRSP/RSP/RESP/LIRA/Securities/TFSA/GICs/Stocks/Bonds, etc.) showing all specific investments and holds as at the disclo

Source URL: www.ethicscommissioner.ab.ca

APPENDIX B [Form ADV, Part 3:] 1 Instructions to Form CRS General Instructions Under rule 17a-14 under the Securities Exchange Act of 1934 and ruleunder the Investment Advisers Act of 1940, broker-dealers registe

Source URL: www.sec.gov

Media Contacts: For the Katz Wilpon Settling Parties: Matthew Hiltzik For the SIPA Trustee & Counsel for the liquidation of Bernard L. Madoff Investment Securities LLC: Amanda Remus

Source URL: www.madofftrustee.com

Media Contact: Heather WlodekStatement from the office of Irving H. Picard, SIPA Trustee for the liquidation of Bernard L. Madoff Investment Securities LLC (BLMIS)

Source URL: www.madofftrustee.com