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Advisors, Dealers & Financial Planners / Page 5

Submission Category: Advisors, Dealers & Financial Planners

Incorporation of Individual Representatives Project

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

Requirement to Disclose Membership in IIROC as Dealer Member

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

Guidance Note – Outside Business Activities

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

Proposed Changes to the CFP Code of Ethics

Download PDF May 13, 2011   Financial Planning Standards Council Code of Ethics Revalidation 902-375 University Avenue Toronto, Ontario M5G

Proposed Incorporation of Individual Representatives of Registered Dealers and Advisers

Download PDF   February 25, 2011   Marsha Manolescu Senior Policy Advisor Alberta Finance and Enterprise 522, 9515 – 107

IIROC Proposed Personal Financial Dealing and Outside Business Activities Proposals

Download PDF August 27, 2010   Sherry Tabesh-Ndreka Policy Counsel Investment Industry Regulatory Organization of Canada Suite 1600, 121 King

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