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Search results with tag "Universal market integrity rules rules amp policies"
Universal Market Integrity Rules Rules & Policies
www.iiroc.caPart 6 – Order Entry and Exposure UMIR 6.4-2 November 7, 2018 Universal Market Integrity Rules Rules & Policies (j) Acceptable Foreign Trade Reporting Facility – in a listed security or
Universal Market Integrity Rules Rules & Policies
www.iiroc.caPart 2 – Abusive Trading UMIR 2.2-1 December 9, 2013 Universal Market Integrity Rules Rules & Policies 2.2 Manipulative and Deceptive Activities
Universal Market Integrity Rules Rules & Policies
www.iiroc.caPart 7 – Trading in a Marketplace UMIR 7.1-5 June 21, 2018 Part 2 – Minimum Elements of a Supervision System For the purposes of Rule 7.1, a supervision system consists of both policies and procedures aimed at preventing violations from occurring and compliance procedures aimed at detecting