Investment Industry Regulatory Organization Of Canada

• 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

• Make Advisors Work For Investors.

...." The paper acknowledged that the regulatory regime -- regulating dealers and their representat... professionals and salespersons in Canada are allowed to call themselves advisors, irrespect... relationship model." Last month, the Investment Industry Regulatory Organization of Canada (IIROC)...

• Mondaq Business Briefing
• Nbr. 2011, January 2011

• Further Reforms To The Registration Regime In Canada.

... on the registration obligations of investment fund industry participants. . investment fund mana... for which are currently $3250 for an organization that pays capital markets participation fees (i.e.... is a member of the Investment Industry Regulatory Organization of Canada (IIROC) and that is also re...

• Mondaq Business Briefing
• Nbr. 2011, January 2011

• Penson 3Q11 Results & Strategic Initiatives Update.

...* 39% increase in excess regulatory capital for US clearing operation in 3Q11. * Reduc... operating at a loss due to challenging industry conditions, we have a plan in place to achieve app... correspondent business; (v) completion of Canada's conversion to Broadridge in the fourth quarter a...is a participating organization with the Toronto Stock Exchange, the Montreal Exch... Venture Exchange, is regulated by the Investment Industry Regulatory Organization of Canada, is a m...

• Business Wire
• November 08, 2011

• AMF Tables Proposed Rules On The Derivatives Qualification Requirement In Quebec.

... hoped that, in this period of intense regulatory change (particularly in the major derivatives markkets outside Canada), the final rules will include a transition period... have an effective corporate and organizational structure with adequate personnel, financial and t... Questionnaire and Report of the Investment Industry Regulatory Organization of Canada (IIROC)...

• Mondaq Business Briefing
• Nbr. 2012, January 2012

• IIROC Proposes Expansion Of Client Suitability Review Rules And Client Account Reporting Obligations For Dealer Members.

... Model proposal (the "Proposal"), the Investment Industry Regulatory Organization of Canada ("IIROC...

• Mondaq Business Briefing
• Nbr. 2011, January 2011

• IIROC Proposes Requiring Disclosure Of IIROC Membership.

The Investment Industry Regulatory Organization of Canada publish...

• Mondaq Business Briefing
• Nbr. 2011, January 2011

• IIROC Provides Guidance On Order Execution Obligations In Volatile Markets.

.... Recent guidance has been issued to Investment Industry Regulatory Organization of Canada (IIROC)...

• Mondaq Business Briefing
• Nbr. 2011, January 2011

• IIROC releases updated Strategic Plan.

Yesterday, the Investment Industry Regulatory Organization of Canada (IIROC)...

• Mondaq Business Briefing
• Nbr. 2011, January 2011

• IIROC Announces Changes To Comset Reporting Requirements.

On May 2, the Investment Industry Regulatory Organization of Canada (IIROC)...

• Mondaq Business Briefing
• Nbr. 2011, January 2011