Advisors, Dealers & Financial Planners Archives

IIROC re Requirement to Disclose Membership in IIROC as a Dealer Member

FAIR Canada supports efforts to promote and raise awareness of IIROC, its regulatory function, and the fact of dealer members’

Download PDF November 17, 2014 RE: Proficiency Assurance: The Next Phase – Consultation Relating to Expiry of CSI Contract FAIR

Download PDF February 7, 2014 Frank Allen Assistant Deputy Minister Ministry of Finance Frost Building North, 4th Floor 95 Grosvenor

Download PDF April 26, 2013 Canadian Securities Administrators c/o Mr. Bill Rice Chair, Canadian Securities Administrators Suite 600, 250-5th

Download PDF April 12, 2013 RE: Canadian Securities Administrators (“CSA”) Discussion Paper and Request for Comment 81-407 Mutual Fund Fees

Download PDF March 9, 2013 Rossana Di Lieto Vice President, Registration, Complaints & Inquiries Investment Industry Regulatory Organization of

Download PDF November 12, 2012 Robert Keller, Policy Counsel Investment Industry Regulatory Organization of Canada 121 King Street West,

Download PDF April 30, 2012 Marsha Manolescu Director, Capital Markets Policy Alberta Finance and Enterprise 522 Terrace Building 9515

Download PDF February 2, 2012 Angie F. Foggia Policy Counsel, Member Regulation Policy Investment Industry Regulatory Organization of Canada

Download PDF July 11, 2011 Sherry Tabesh-Ndreka, Senior Policy Counsel Investment Industry Regulatory Organization of Canada 121 King Street