Search results with tag "Please distribute internally"
Rules Notice Please distribute internally to - iiroc.ca
www.iiroc.caIIROC Notice 18-0076– Rules Notice – Guidance Note – Dealer Member Rules – Guidance on Order Execution Only Services and Activities 3 1. Background The OEO business model was designed to provide investors who are comfortable making their own investment decisions with a lower-cost option to the traditional full-service dealer model.
Disclosure and approval of outside business activities
www.iiroc.caRules Notice Guidance Note Dealer Member Rules. Please distribute internally to: Institutional Internal Audit Legal and Compliance Registration Retail
Implementation of the consolidated IIROC …
www.iiroc.caRules Notice Notice of Approval/Implementation Dealer Member Rules and UMIR Please distribute internally to: Legal and Compliance . Senior Management
Guidance on Trading Supervision Obligations
www.iiroc.caRules Notice Guidance Note UMIR Please distribute internally to: Institutional Legal and Compliance Senior Management Trading Desk Retail Contact: