Investment Dealers Association Of Canada

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1.306 documents for Investment Dealers Association Of Canada

- Investment Dealers Association of Canada Enacts Proposed Policy on Analyst Standards Background.
Article by David Sherman and Brad Ross Based on the recommendations of the Securities Industry Committee on Analyst Standards established in 1999 by...
- Mondaq Business Briefing
- Nbr. 2002, June 2002
- Structural Reform of Financial Regulation
Preface - II. Original introduction - III. Designing an optimal regulatory system - A. Regulatory Objectives - B. Characteristics of an Optimal Regulatory System - C. Regulatory Strategies - D. Organization of the Regulatory System - IV. Canada’s regulatory system - A. Current Structure of Canada’s Regulatory System - B. Comments on Canada’s Regulatory System - V. Comparative analysis of the united kingdom, australia, united states, france, germany, the netherlands, and hong kong - A. The United Kingdom - B. Australia - C. The United States - 1. Current System - 2. Calls for Reform - 3. U.S. Treasury Blueprint for a Modernized Financial Regulatory Structure - a) Market Stability Regulation - b) Prudential Regulation - c) Business Conduct Regulation - D. France - E. Germany - F. Hong ...
- Transnational Law & Contemporary Problems
- Nbr. 19-3, January 2011
- Investment Dealers Association of Canada Proposes Revised Policy on Analyst Standards.
Background As public scrutiny continues to focus on potential conflicts of interest affecting research analysts, the Investment Dealers Association ...
- Mondaq Business Briefing
- Nbr. 2003, May 2003

- PFG Canada Executive Named to Advisory Group of Investment Dealers Association of Canada.
MISSISSAGUA, Ontario -- Peregrine Financial Group, Inc. (PFG) today announced that Jim Klotz, president of Peregrine Financial Group Canada, Inc. ("PF...
- Business Wire
- August 08, 2007
- Law and the market: the impact of enforcement.
... In contrast, companies with attractive investment or merger opportunities, but requiring either equi...) in the United States or the Investment Dealers Association of Canada, have developed, at least in...
- University of Pennsylvania Law Review
- Vol. 156 Nbr. 2, December 2007
- BCSC Holds that IIROC Not Required To Act Reasonably In Investigations.
...and Investment Industry Regulatory Organization of Canada, overtu... of Canada (formerly Investment Dealers Association of Canada) (IIROC) has no obligation t...
- Mondaq Business Briefing
- Nbr. 2009, January 2009
- Penson Worldwide, Inc. Reports Results for Third Quarter and Nine Months Ended September 30, 2007.
... Services, Inc., Penson Financial Services Canada Inc., Penson Financial Services Ltd., Nexa Technol... the clearing needs of all types of broker/dealers since 1995. Penson is the Flexible Choice in Globa... Venture Exchange, is regulated by the Investment Dealers Association of Canada, and is a member of ...
- Business Wire
- October 24, 2007
- Registration Reform Round Two: Key Features For Investment Fund Managers, Foreign Funds And Private Equity Funds.
... to national registration requirements for dealers, advisers and investment fund managers. Over 260 c... regulation of investment activities across Canada. The revised proposals are open for comments until... SRO, including the Investment Dealers Association of Canada (IDA) and the Mutual Fund Dealers Associ...
- Mondaq Business Briefing
- Nbr. 2008, March 2008
- Principal Protected Notes: Federal Minister Of Finance Issues New Disclosure Regulations.
...(the "New Regulations") under the Bank Act (Canada) (the "Bank Act") regarding principal protected no..., the "retailization of alternative investment products" (i.e. the use of PPNs to enable unregist... regulators, the Canadian Bankers Association, the Financial Consumer Agency of Canada, the Offi... were being distributed through investment dealers and a further 10% were being distributed through m...
- Mondaq Business Briefing
- Nbr. 2008, March 2008
- Ontario Divisional Court - The Ontario Securities Act And Stephen Taub.
... though by-law 20.7 provides that the Association shall have continuing jurisdiction over former mem... Columbia released its decision in Investment Dealers Association of Canada v. Dass, a case with...
- Mondaq Business Briefing
- Nbr. 2008, March 2008