'+pages+''); $('.stream > div:odd').addClass('bgr_color'); updateHeight('#history'); }); window.activateTabArea = ensure(function(tab, areas){ var parsed = false; var parts = (areas || '').split('/'); window.fsonload = $.inArray('fs', parts) >= 0; if(fsonload){ parts.splice(parts.indexOf('fs'), 1); } var replayMode = false; if($.inArray('replay', parts)>=0){ replayMode = 'replay'; } var noSoundMode = false; if($.inArray('nosound', parts)>=0){ noSoundMode = 'nosound'; } if($.inArray('ns', parts)>=0){ noSoundMode = 'ns'; } var previewMode = null; if($.inArray('p', parts)>=0){ previewMode = 'p'; } if($.inArray('preview', parts)>=0){ previewMode = 'preview'; } if($.inArray('repeat', parts)>=0){ replayMode = 'repeat'; } if($.inArray('r', parts)>=0 || $.inArray('ro', parts)>=0){ replayMode = 'r'; } if(replayMode){ parts.splice(parts.indexOf(replayMode), 1); } if(noSoundMode){ parts.splice(parts.indexOf(noSoundMode), 1); } if(previewMode){ parts.splice(parts.indexOf(previewMode), 1); } if(previewMode){ if(!parts.length){ parts = ['1-14', '999:59']; } } var area = parts[0]; if(tab == 'history' && false){ var page = parseInt(area || '1') || 1; $.ajax({ url: 'https://login.wn.com/recent/json/?pp='+history_pp+'&skip='+history_pp*(page-1), dataType: 'jsonp', success: function(response){ $ensure(function(){ renderHistory(response, page); }); } }); return true; } if(tab == 'global_history' && false){ var page = parseInt(area || '1') || 1; globalHistory.fetchStream(page, '', function(){ updateHeight('#global_history'); }); return true; } if(tab == 'my_playlists' && false){ var page = parseInt(area || '1') || 1; myPlaylists.fetchStream(page, '', function(){ updateHeight('#my_playlists'); }); return true; } if(tab == 'my_videos' && false){ var page = parseInt(area || '1') || 1; myVideos.fetchStream(page, '', function(){ updateHeight('#my_videos'); }); return true; } if(tab == 'related_sites' && areas && matchPosition(areas)){ var seconds = parsePosition(areas); scrollRelated(seconds); return false; } if(matchPosition(area) || matchAction(area)){ parts.unshift('1'); area = parts[0]; } if(tab == 'expand' && area && area.match(/\d+/)) { var num = parseInt(area); if(num < 100){ //FIX ME. 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vp.playFromPlaylist(pls[pls.length-1]); vp.playVideo(); scrollToPlaylistPosition(vp); }); return true; } } if(playQueue){ playQueueUpdate(); vp.playVideo(); parsed = true; playShouldStart = 0; } } if(previewMode){ var vids = []; var dur = 0; var pl = vp.getActualPlaylist(); area = parts[0]; if(parts.length == 1 && matchPosition(parts[0])){ vids = parseDash('1-'+pl.length); dur = parsePosition(parts[0]); parts = []; }else if(parts.length == 1 && matchDash(parts[0])){ vids = parseDash(parts[0]); dur = parsePosition("999:59"); parts = []; } if(parts.length == 2 && matchDash(parts[0]) && matchPosition(parts[1])){ vids = parseDash(parts[0]); dur = parsePosition(parts[1]); parts = []; } for(var i = 0; i < vids.length; i++){ playQueue.push({ 'video': pl[vids[i]-1], 'start': 0, 'stop': dur }) } if(playQueue){ playQueueUpdate(); vp.playVideo(); parsed = true; } } if(parts.length>1){ for(var i = 0; i < parts.length; i++){ var sel = findMatchingVideo(vp, parts[i]); if(sel){ playQueue.push({ 'video': sel, 'start': 0, 'stop': null }) } } if(playQueue){ playQueueUpdate(); 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• Investment Industry Regulatory Organization of Canada

Investment Industry Regulatory Organization of Canada

The Investment Industry Regulatory Organization of Canada (IIROC; Organisme Canadien de réglementation du commerce des valeurs mobilières or OCRCVM in French) is a non-profit, national self-regulatory organization (SRO). Established through the merger of the Investment Dealers Association of Canada (IDA) and Market Regulation Services Inc. (RS) on June 1, 2008, the IIROC regulates securities dealers which operate in Canada's equity and debt markets, and is overseen by the Canadian Securities Administrators.

The organization sets regulatory and investment industry standards and has quasi-judicial powers in that it holds compliance hearings and has the power to suspend, fine and expel members and registered representatives, such as advisers. However, it has often been criticized by investor advocates as ineffective.

History

IIROC was formed on June 1, 2008 through the merger of the Investment Dealers Association of Canada (IDA) and Market Regulation Services Inc. (RS).

Read more

This page contains text from Wikipedia, the Free Encyclopedia - https://wn.com/Investment_Industry_Regulatory_Organization_of_Canada

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Email this Page Play all in Full Screen Show More Related Videos

• 

  Ed Madro IIROC Transition Video

  published: 02 Oct 2017
• 

  Investment Industry Regulatory organisation of canada | Trading Halt | Trader | Tsx venture Exchange

  Investment Industry Regulatory organisation of canada | Trading Halt | Trader | Tsx venture Exchange | IIROC IIROC can make a decision to impose a temporary suspension (halt) of trading in a security of a publicly-listed company. Trading halts are implemented to ensure a fair and orderly market. IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. #TOP 10 #INVESTMENT #INDUSTRY #REGULATORY #CANADA #TRADING HALT #TRADER #TSX VENTURE EXCHANGE #IIROC #SUBSCRIBE #LIKE #SHARE #COMMENT #PEACE OUT

  published: 21 Apr 2020
• 

  The IIROC Short Selling Debate

  In this InvestorIntel interview, host Tracy Weslosky brings together Power Nickel Inc.‘s (TSXV: PNPN | OTCQB: CMETF) CEO Terry Lynch and Founder of Save Canadian Mining, a movement to stop predatory short selling, along with compliance expert and CBLT Inc.’s (TSXV: CBLT) President, CEO, and Director Peter Clausi to debate about whether the recently released IIROC (the Investment Industry Regulatory Organization of Canada) guidance on short selling has any teeth and will have any effect on short sellers or brokerage houses. IIROC's August 17, 2022 Guidance Note sets out the rule that a short seller must have a “reasonable expectation” that sufficient shares will be available to settle any resulting trade on settlement date. As Terry Lynch and Peter Clausi point out, this is not a new rule,...

  published: 06 Sep 2022
• 

  How to Choose Investment Advisor in Canada in 2022 | best investment Advisors MGA MFDA IIROC Canada

  How to Choose Investment Advisor in Canada in 2022 | best investment Advisors #MGA #MFDA #IIROC #StocksinCanada

  published: 20 Oct 2022
• 

  Episode 5 - Navigating the IIROC Arbitration Process

  Episode 5 of the Points of Interest Series brought to you by the Investor Protection Clinic at Osgoode Hall Law School and sponsored by the Law Foundation of Ontario. --------------------------- HELPFUL LINKS: Making a Complaint and How Can I Get My Money Back? A Guide for Investors (CIRO Complaints Brochure 2024): https://www.ciro.ca/media/7616/download?inline Dealers We Regulate: https://www.ciro.ca/office-investor/dealers-we-regulate https://www.iiroc.ca/investors/dealers-we-regulate Advisor Report: https://www.ciro.ca/office-investor/know-your-advisor-advisor-report CSA National Registration Database: https://www.securities-administrators.ca/nrs/nrsearchprep.aspx CCAC: https://ccac-adr.org/en/specialized-arbitration-procedure-for-disputes-arising-between-the-members-of-ciro-...

  published: 18 Feb 2022
• 

  Introduction to the IIROC 90-Day Advisor Training Program - Learnedly

  Welcome to your first 90 days with your new CIRO Dealer firm. Get up to speed with industry rules, regulations and best practices while you satisfy your mandatory 90-day training requirement. With a new course section released every week, this course is designed to be completed over a full 90-day period, allowing you to balance the learning with the onboarding experience with your new firm.

  published: 26 Mar 2021
• 

  加拿大银行前台工作人员的license ｜MFDA | IIROC | CSC Vol 1 知识点

  #加拿大银行, #银行薪水 在加拿大银行前台工作的销售人员必须持有MFDA或者IIROC执照，才可以给客户提供服务。

  published: 31 Jan 2020
• 

  What you need to know about the MFDA and IIROC Merger

  Recently, as many of you know, MFDA and IIROC merged to create a new governing body for all financial advisors in Canada. Recently, I was at an advocacy event with the new CEO of this merged body, and he was speaking on stage about the scrutiny that they're having over compliance and conflicts of interest. Now, this may sound like all jargon to you, but what it means to the actual advisor is soon this governing body is going to be looking for timestamps and accurate pictures of when the email was sent, when the text message was sent, when the note was written. And all of that needs to be stored somewhere, and for now they're just warning advisors. But what is coming is they're going to start looking in your databases and making you prove that you've had these conversations with clients....

  published: 19 Mar 2024
• 

  IIROC Announcement on Naked Short Selling – What It Means for Mining Investors

  Sep 19, 2022 Join one of Save Canadian Mining's founding members, Terry Lynch, and some special guests as they discuss the implication of IIROC's clarification on naked short selling, announced on Aug 17, 2022. Here are some questions that will be tackled: - What does this mean for companies that have been experiencing naked short selling on their stocks? - What does this mean for investment banks that now bear the full liability to insure naked short selling does not occur? - What does this mean for IIROC and security commissions across Canada? - What does this mean for investors? Is this good news? Terry is reaching out to industries, security lawyers and government officials for comments and insights into this recent announcement. #6ix_summit #SaveCanadianMining DISCLAIMER OF LIAB...

  published: 19 Sep 2022
• 

  How to Get Continuing Education Credits (CFP®/PFP®/IIROC/Life Insurance)

  SeeWhy Learning is now offering Continuing Education packages to help you easily get your CE credits. Figuring out what requirements you need to complete your continuing education courses can be difficult, but we've made it simple. All you have to do is head to our website and click on the package that matches your designation/credential OR if you have multiple designations/credentials select the "Grand Slam" package. These packages have been handpicked by our expert team to ensure that the courses within will fulfill your continuing education requirements. We offer packages for CFP®, IIROC, CIM®, CLU®, PFP®, and Life Insurance continuing education courses. No more worrying, no more procrastinating. Get your CE done today: https://seewhyce.ca/ Subscribe to our channel for more great c...

  published: 05 Nov 2021

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4:00

Ed Madro IIROC Transition Video

• Order: Reorder
• Duration: 4:00
• Uploaded Date: 02 Oct 2017
• views: 117

https://wn.com/Ed_Madro_Iiroc_Transition_Video

• published: 02 Oct 2017
• views: 117

0:28

Investment Industry Regulatory organisation of canada | Trading Halt | Trader | Tsx venture Exchange

• Order: Reorder
• Duration: 0:28
• Uploaded Date: 21 Apr 2020
• views: 163

Investment Industry Regulatory organisation of canada | Trading Halt | Trader | Tsx venture Exchange | IIROC IIROC can make a decision to impose a temporary su...

Investment Industry Regulatory organisation of canada | Trading Halt | Trader | Tsx venture Exchange | IIROC IIROC can make a decision to impose a temporary suspension (halt) of trading in a security of a publicly-listed company. Trading halts are implemented to ensure a fair and orderly market. IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. #TOP 10 #INVESTMENT #INDUSTRY #REGULATORY #CANADA #TRADING HALT #TRADER #TSX VENTURE EXCHANGE #IIROC #SUBSCRIBE #LIKE #SHARE #COMMENT #PEACE OUT

https://wn.com/Investment_Industry_Regulatory_Organisation_Of_Canada_|_Trading_Halt_|_Trader_|_Tsx_Venture_Exchange

Investment Industry Regulatory organisation of canada | Trading Halt | Trader | Tsx venture Exchange | IIROC IIROC can make a decision to impose a temporary suspension (halt) of trading in a security of a publicly-listed company. Trading halts are implemented to ensure a fair and orderly market. IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. #TOP 10 #INVESTMENT #INDUSTRY #REGULATORY #CANADA #TRADING HALT #TRADER #TSX VENTURE EXCHANGE #IIROC #SUBSCRIBE #LIKE #SHARE #COMMENT #PEACE OUT

• published: 21 Apr 2020
• views: 163

13:23

The IIROC Short Selling Debate

• Order: Reorder
• Duration: 13:23
• Uploaded Date: 06 Sep 2022
• views: 181

In this InvestorIntel interview, host Tracy Weslosky brings together Power Nickel Inc.‘s (TSXV: PNPN | OTCQB: CMETF) CEO Terry Lynch and Founder of Save Canadia...

In this InvestorIntel interview, host Tracy Weslosky brings together Power Nickel Inc.‘s (TSXV: PNPN | OTCQB: CMETF) CEO Terry Lynch and Founder of Save Canadian Mining, a movement to stop predatory short selling, along with compliance expert and CBLT Inc.’s (TSXV: CBLT) President, CEO, and Director Peter Clausi to debate about whether the recently released IIROC (the Investment Industry Regulatory Organization of Canada) guidance on short selling has any teeth and will have any effect on short sellers or brokerage houses. IIROC's August 17, 2022 Guidance Note sets out the rule that a short seller must have a “reasonable expectation” that sufficient shares will be available to settle any resulting trade on settlement date. As Terry Lynch and Peter Clausi point out, this is not a new rule, but a restatement of a current prohibition under UMIR 2.2 – Manipulative and Deceptive Activities. In the debate, which can also be viewed in full on the InvestorIntel YouTube channel (click here), Terry tells Tracy that the IIROC statement "has the potential to be big news," because "the problem was it wasn't well understood by the major investment banks, and so they didn't adhere to the practices. So now I think IIROC has clarified this once and for all and has clearly moved the liability away from from them and onto the people that don't follow the rules." Peter and Terry both agree that the recent IIROC guidance has shifted the responsibility for covering short selling from the individual investors to the brokerage houses who have to have a “reasonable expectation” that sufficient shares will be available to settle any resulting trade, but Peter Clausi points out that the IIROC guidance doesn't itself prohibit naked short selling, which is a major problem in the market. He also points out that there is tremendous wiggle room in the words "reasonable expectation" used by IIROC to make enforcement difficult, and in reality protects brokerage houses from prosecution. About Power Nickel Inc. Power Nickel is a Canadian junior exploration company focusing on high-potential copper, gold, and battery metal prospects in Canada and Chile. Power Nickel is the 100-per-cent owner of five properties comprising over 50,000 acres strategically located in the prolific iron-oxide-copper-gold belt of northern Chile. It also owns a 3-per-cent NSR royalty interest on any future production from the Copaquire copper-molybdenum deposit, recently sold to a subsidiary of Teck resources Inc. Under the terms of the sale agreement, Teck has the right to acquire one-third of the 3-per-cent NSR for $3-million at any time. The Copaquire property borders Teck’s producing Quebrada Blanca copper mine in Chile’s first region. About CBLT Inc. CBLT Inc. is a Canadian mineral exploration company with a proven leadership team, targeting lithium, cobalt and gold in reliable mining jurisdictions. CBLT is well-poised to deliver real value to its shareholders. Disclaimer: Power Nickel Inc. and CBLT Inc. are advertorial members of InvestorIntel Corp. This interview, which was produced by InvestorIntel Corp., (IIC), does not contain, nor does it purport to contain, a summary of all the material information concerning the “Company” being interviewed. IIC offers no representations or warranties that any of the information contained in this interview is accurate or complete. This presentation may contain “forward-looking statements” within the meaning of applicable Canadian securities legislation. Forward-looking statements are based on the opinions and assumptions of the management of the Company as of the date made. They are inherently susceptible to uncertainty and other factors that could cause actual events/results to differ materially from these forward-looking statements. Additional risks and uncertainties, including those that the Company does not know about now or that it currently deems immaterial, may also adversely affect the Company’s business or any investment therein. Any projections given are principally intended for use as objectives and are not intended, and should not be taken, as assurances that the projected results will be obtained by the Company. The assumptions used may not prove to be accurate and a potential decline in the Company’s financial condition or results of operations may negatively impact the value of its securities. Prospective investors are urged to review the Company’s profile on Sedar.com and to carry out independent investigations in order to determine their interest in investing in the Company. If you have any questions surrounding the content of this interview, please contact us at +1 416 792 8228 and/or email us direct at [email protected]. #IIROC #IIROCguidance #ShortSelling

https://wn.com/The_Iiroc_Short_Selling_Debate

In this InvestorIntel interview, host Tracy Weslosky brings together Power Nickel Inc.‘s (TSXV: PNPN | OTCQB: CMETF) CEO Terry Lynch and Founder of Save Canadian Mining, a movement to stop predatory short selling, along with compliance expert and CBLT Inc.’s (TSXV: CBLT) President, CEO, and Director Peter Clausi to debate about whether the recently released IIROC (the Investment Industry Regulatory Organization of Canada) guidance on short selling has any teeth and will have any effect on short sellers or brokerage houses. IIROC's August 17, 2022 Guidance Note sets out the rule that a short seller must have a “reasonable expectation” that sufficient shares will be available to settle any resulting trade on settlement date. As Terry Lynch and Peter Clausi point out, this is not a new rule, but a restatement of a current prohibition under UMIR 2.2 – Manipulative and Deceptive Activities. In the debate, which can also be viewed in full on the InvestorIntel YouTube channel (click here), Terry tells Tracy that the IIROC statement "has the potential to be big news," because "the problem was it wasn't well understood by the major investment banks, and so they didn't adhere to the practices. So now I think IIROC has clarified this once and for all and has clearly moved the liability away from from them and onto the people that don't follow the rules." Peter and Terry both agree that the recent IIROC guidance has shifted the responsibility for covering short selling from the individual investors to the brokerage houses who have to have a “reasonable expectation” that sufficient shares will be available to settle any resulting trade, but Peter Clausi points out that the IIROC guidance doesn't itself prohibit naked short selling, which is a major problem in the market. He also points out that there is tremendous wiggle room in the words "reasonable expectation" used by IIROC to make enforcement difficult, and in reality protects brokerage houses from prosecution. About Power Nickel Inc. Power Nickel is a Canadian junior exploration company focusing on high-potential copper, gold, and battery metal prospects in Canada and Chile. Power Nickel is the 100-per-cent owner of five properties comprising over 50,000 acres strategically located in the prolific iron-oxide-copper-gold belt of northern Chile. It also owns a 3-per-cent NSR royalty interest on any future production from the Copaquire copper-molybdenum deposit, recently sold to a subsidiary of Teck resources Inc. Under the terms of the sale agreement, Teck has the right to acquire one-third of the 3-per-cent NSR for $3-million at any time. The Copaquire property borders Teck’s producing Quebrada Blanca copper mine in Chile’s first region. About CBLT Inc. CBLT Inc. is a Canadian mineral exploration company with a proven leadership team, targeting lithium, cobalt and gold in reliable mining jurisdictions. CBLT is well-poised to deliver real value to its shareholders. Disclaimer: Power Nickel Inc. and CBLT Inc. are advertorial members of InvestorIntel Corp. This interview, which was produced by InvestorIntel Corp., (IIC), does not contain, nor does it purport to contain, a summary of all the material information concerning the “Company” being interviewed. IIC offers no representations or warranties that any of the information contained in this interview is accurate or complete. This presentation may contain “forward-looking statements” within the meaning of applicable Canadian securities legislation. Forward-looking statements are based on the opinions and assumptions of the management of the Company as of the date made. They are inherently susceptible to uncertainty and other factors that could cause actual events/results to differ materially from these forward-looking statements. Additional risks and uncertainties, including those that the Company does not know about now or that it currently deems immaterial, may also adversely affect the Company’s business or any investment therein. Any projections given are principally intended for use as objectives and are not intended, and should not be taken, as assurances that the projected results will be obtained by the Company. The assumptions used may not prove to be accurate and a potential decline in the Company’s financial condition or results of operations may negatively impact the value of its securities. Prospective investors are urged to review the Company’s profile on Sedar.com and to carry out independent investigations in order to determine their interest in investing in the Company. If you have any questions surrounding the content of this interview, please contact us at +1 416 792 8228 and/or email us direct at [email protected]. #IIROC #IIROCguidance #ShortSelling

• published: 06 Sep 2022
• views: 181

2:46

How to Choose Investment Advisor in Canada in 2022 | best investment Advisors MGA MFDA IIROC Canada

• Order: Reorder
• Duration: 2:46
• Uploaded Date: 20 Oct 2022
• views: 173

How to Choose Investment Advisor in Canada in 2022 | best investment Advisors #MGA #MFDA #IIROC #StocksinCanada

How to Choose Investment Advisor in Canada in 2022 | best investment Advisors #MGA #MFDA #IIROC #StocksinCanada

https://wn.com/How_To_Choose_Investment_Advisor_In_Canada_In_2022_|_Best_Investment_Advisors_Mga_Mfda_Iiroc_Canada

How to Choose Investment Advisor in Canada in 2022 | best investment Advisors #MGA #MFDA #IIROC #StocksinCanada

• published: 20 Oct 2022
• views: 173

14:29

Episode 5 - Navigating the IIROC Arbitration Process

• Order: Reorder
• Duration: 14:29
• Uploaded Date: 18 Feb 2022
• views: 268

Episode 5 of the Points of Interest Series brought to you by the Investor Protection Clinic at Osgoode Hall Law School and sponsored by the Law Foundation of On...

Episode 5 of the Points of Interest Series brought to you by the Investor Protection Clinic at Osgoode Hall Law School and sponsored by the Law Foundation of Ontario. --------------------------- HELPFUL LINKS: Making a Complaint and How Can I Get My Money Back? A Guide for Investors (CIRO Complaints Brochure 2024): https://www.ciro.ca/media/7616/download?inline Dealers We Regulate: https://www.ciro.ca/office-investor/dealers-we-regulate https://www.iiroc.ca/investors/dealers-we-regulate Advisor Report: https://www.ciro.ca/office-investor/know-your-advisor-advisor-report CSA National Registration Database: https://www.securities-administrators.ca/nrs/nrsearchprep.aspx CCAC: https://ccac-adr.org/en/specialized-arbitration-procedure-for-disputes-arising-between-the-members-of-ciro-and-their-clients ADR Chambers: https://adrchambers.com/programs/ciro/ IIROC Arbitration Rules: https://adrchambers.com/wp-content/uploads/2017/06/2017-02-27-IIROC-Aritration-Rules.pdf Osgoode Investor Protection Clinic (Osgoode IPC) Website: https://bit.ly/OsgoodeIPC --------------------------- LEGAL DISCLAIMER: The content of this video does not constitute legal or investment advice. If you have any specific questions about any legal matter, you should consult a lawyer or other professional services provider. Produced by K+G Creative Media.

https://wn.com/Episode_5_Navigating_The_Iiroc_Arbitration_Process

Episode 5 of the Points of Interest Series brought to you by the Investor Protection Clinic at Osgoode Hall Law School and sponsored by the Law Foundation of Ontario. --------------------------- HELPFUL LINKS: Making a Complaint and How Can I Get My Money Back? A Guide for Investors (CIRO Complaints Brochure 2024): https://www.ciro.ca/media/7616/download?inline Dealers We Regulate: https://www.ciro.ca/office-investor/dealers-we-regulate https://www.iiroc.ca/investors/dealers-we-regulate Advisor Report: https://www.ciro.ca/office-investor/know-your-advisor-advisor-report CSA National Registration Database: https://www.securities-administrators.ca/nrs/nrsearchprep.aspx CCAC: https://ccac-adr.org/en/specialized-arbitration-procedure-for-disputes-arising-between-the-members-of-ciro-and-their-clients ADR Chambers: https://adrchambers.com/programs/ciro/ IIROC Arbitration Rules: https://adrchambers.com/wp-content/uploads/2017/06/2017-02-27-IIROC-Aritration-Rules.pdf Osgoode Investor Protection Clinic (Osgoode IPC) Website: https://bit.ly/OsgoodeIPC --------------------------- LEGAL DISCLAIMER: The content of this video does not constitute legal or investment advice. If you have any specific questions about any legal matter, you should consult a lawyer or other professional services provider. Produced by K+G Creative Media.

• published: 18 Feb 2022
• views: 268

3:04

Introduction to the IIROC 90-Day Advisor Training Program - Learnedly

• Order: Reorder
• Duration: 3:04
• Uploaded Date: 26 Mar 2021
• views: 975

Welcome to your first 90 days with your new CIRO Dealer firm. Get up to speed with industry rules, regulations and best practices while you satisfy your mandato...

Welcome to your first 90 days with your new CIRO Dealer firm. Get up to speed with industry rules, regulations and best practices while you satisfy your mandatory 90-day training requirement. With a new course section released every week, this course is designed to be completed over a full 90-day period, allowing you to balance the learning with the onboarding experience with your new firm.

https://wn.com/Introduction_To_The_Iiroc_90_Day_Advisor_Training_Program_Learnedly

Welcome to your first 90 days with your new CIRO Dealer firm. Get up to speed with industry rules, regulations and best practices while you satisfy your mandatory 90-day training requirement. With a new course section released every week, this course is designed to be completed over a full 90-day period, allowing you to balance the learning with the onboarding experience with your new firm.

• published: 26 Mar 2021
• views: 975

8:19

加拿大银行前台工作人员的license ｜MFDA | IIROC | CSC Vol 1 知识点

• Order: Reorder
• Duration: 8:19
• Uploaded Date: 31 Jan 2020
• views: 2239

#加拿大银行, #银行薪水 在加拿大银行前台工作的销售人员必须持有MFDA或者IIROC执照，才可以给客户提供服务。

#加拿大银行, #银行薪水 在加拿大银行前台工作的销售人员必须持有MFDA或者IIROC执照，才可以给客户提供服务。

https://wn.com/加拿大银行前台工作人员的License_｜Mfda_|_Iiroc_|_Csc_Vol_1_知识点

#加拿大银行, #银行薪水 在加拿大银行前台工作的销售人员必须持有MFDA或者IIROC执照，才可以给客户提供服务。

• published: 31 Jan 2020
• views: 2239

0:52

What you need to know about the MFDA and IIROC Merger

• Order: Reorder
• Duration: 0:52
• Uploaded Date: 19 Mar 2024
• views: 302

Recently, as many of you know, MFDA and IIROC merged to create a new governing body for all financial advisors in Canada. Recently, I was at an advocacy event...

Recently, as many of you know, MFDA and IIROC merged to create a new governing body for all financial advisors in Canada. Recently, I was at an advocacy event with the new CEO of this merged body, and he was speaking on stage about the scrutiny that they're having over compliance and conflicts of interest. Now, this may sound like all jargon to you, but what it means to the actual advisor is soon this governing body is going to be looking for timestamps and accurate pictures of when the email was sent, when the text message was sent, when the note was written. And all of that needs to be stored somewhere, and for now they're just warning advisors. But what is coming is they're going to start looking in your databases and making you prove that you've had these conversations with clients. Now, this might sound scary, but the good news is all you really need is a simple database to track your notes, track your emails, track all communication with clients, and those tools are out there, if you're interested. Book a Call https://massimoianniruberto3.zohobookings.com/#/clovendemo #lifeinsurancebrokers #lifeinsurancecanada #crm #insuranceindustry #leadmanagement #leads #leadmgmt #financialadvisor #financialadvisors #fintech

https://wn.com/What_You_Need_To_Know_About_The_Mfda_And_Iiroc_Merger

Recently, as many of you know, MFDA and IIROC merged to create a new governing body for all financial advisors in Canada. Recently, I was at an advocacy event with the new CEO of this merged body, and he was speaking on stage about the scrutiny that they're having over compliance and conflicts of interest. Now, this may sound like all jargon to you, but what it means to the actual advisor is soon this governing body is going to be looking for timestamps and accurate pictures of when the email was sent, when the text message was sent, when the note was written. And all of that needs to be stored somewhere, and for now they're just warning advisors. But what is coming is they're going to start looking in your databases and making you prove that you've had these conversations with clients. Now, this might sound scary, but the good news is all you really need is a simple database to track your notes, track your emails, track all communication with clients, and those tools are out there, if you're interested. Book a Call https://massimoianniruberto3.zohobookings.com/#/clovendemo #lifeinsurancebrokers #lifeinsurancecanada #crm #insuranceindustry #leadmanagement #leads #leadmgmt #financialadvisor #financialadvisors #fintech

• published: 19 Mar 2024
• views: 302

59:14

IIROC Announcement on Naked Short Selling – What It Means for Mining Investors

• Order: Reorder
• Duration: 59:14
• Uploaded Date: 19 Sep 2022
• views: 1830

Sep 19, 2022 Join one of Save Canadian Mining's founding members, Terry Lynch, and some special guests as they discuss the implication of IIROC's clarification...

Sep 19, 2022 Join one of Save Canadian Mining's founding members, Terry Lynch, and some special guests as they discuss the implication of IIROC's clarification on naked short selling, announced on Aug 17, 2022. Here are some questions that will be tackled: - What does this mean for companies that have been experiencing naked short selling on their stocks? - What does this mean for investment banks that now bear the full liability to insure naked short selling does not occur? - What does this mean for IIROC and security commissions across Canada? - What does this mean for investors? Is this good news? Terry is reaching out to industries, security lawyers and government officials for comments and insights into this recent announcement. #6ix_summit #SaveCanadianMining DISCLAIMER OF LIABILITY 6ix Inc. (“6ix”) licenses software to publicly traded issuers of securities (“Issuers” and each an “Issuer”) which can be used by Issuers to communicate with current and prospective investors (“Investors” and each an “Investor”) on the online platform maintained by 6ix Inc. at www.6ix.com (the “Platform”). Each Issuer is solely responsible for all content relating to the Issuer on the 6ix Platform, including without limitation all investor summits presented by the Issuer and all summary information about the Issuer on the 6ix Platform. All content provided on the 6ix Platform is for informational and educational purposes only and should not be construed as investment advice or an offer or solicitation in respect to any products or services. The content presented on the 6ix Platform should not be used as the basis for any investment decision, and does not purport to provide any legal, tax or accounting advice. There are inherent risks involved with investing in Issuers, as set out in the public disclosure record of each Issuer. Issuers are not responsible for revising or updating any information that they present on the 6ix Platform. Investors should refer to the continuous disclosure documents filed by each Issuer under applicable securities laws, including risk factors and warnings regarding “forward looking information”. Issuers are solely responsible for compliance with applicable securities laws, and 6ix makes no representations and provides no assurances to Investors regarding the accuracy or truthfulness of information presented by Issuers on the 6ix Platform or in their public disclosure records. 6ix is not licensed to trade, deal or advise in securities in any jurisdiction. 6ix does not recommend or endorse any Issuer on the 6ix Platform, nor does 6ix verify the accuracy of any information presented by Issuers to Investors on the 6ix Platform or in their public disclosure records. 6ix’s sole responsibility as the operator of the 6ix Platform is to provide software to Issuers and Investors through which Issuers and Investors communicate directly with each other without any intermediation or intervention by 6ix other than in respect of technical, logistical or advertising and marketing support. Issuers pay 6ix a licensing fee for use of the 6ix Platform, and 6ix may also receive payment from Issuers to pay for advertising on third-party websites. 6ix and its principals may make and hold investments in securities of Issuers on the 6ix Platform and 6ix may offer reduced rates for its software services to Issuers in which 6ix and/or its principals are invested. ALL CONTENT ON THE PLATFORM IS PROVIDED BY THE ISSUERS “AS IS” AND “AS AVAILABLE”. 6IX DOES NOT GUARANTEE THE ACCURACY OF ITS CONTENT. BY USING THE PLATFORM, EACH INVESTOR AGREES TO ACCEPT ANY RISKS ASSOCIATED WITH THE USE OF THE PLATFORM AND ACKNOWLEDGES THAT 6IX IS NOT RESPONSIBLE FOR ANY CONTENT PRESENTED BY OR RELATING TO ISSUERS ON THE PLATFORM. 6IX DOES NOT WARRANT THAT THE PROVISION OF INFORMATION BY ISSUERS ON THE PLATFORM WILL BE ERROR-FREE, TIMELY, COMPLETE OR ACCURATE. USE OF THE PLATFORM AND RELIANCE THEREON IS AT INVESTOR’S SOLE RISK. 6IX WILL NOT BE IN ANY WAY BE LIABLE TO ANY INVESTOR OR ISSUER OR ANY OTHER ENTITY OR PERSON FOR ANY INACCURACIES, ERRORS, OMISSIONS, DELAYS, DAMAGES, CLAIMS, LIABILITIES OR LOSSES, REGARDLESS OF CAUSE, IN OR ARISING FROM THE USE OF THE PLATFORM. IN NO EVENT WILL 6IX BE LIABLE FOR ANY DAMAGES, INCLUDING WITHOUT LIMITATION DIRECT OR INDIRECT, SPECIAL, INCIDENTAL, OR CONSEQUENTIAL DAMAGES, LOSSES OR EXPENSES ARISING IN CONNECTION WITH THE USE OF THE PLATFORM BY INVESTORS AND/OR ISSUERS EVEN IF 6IX IS ADVISED OF THE POSSIBILITY OF SUCH DAMAGES, LOSSES OR EXPENSES. FURTHER, 6IX SHALL NOT BE LIABLE IN ANY MANNER FOR THE PRODUCT OR SERVICES OF ANYONE WHO REDISTRIBUTES THE INFORMATION PROVIDED ON THE PLATFORM, AND SUCH REDISTRIBUTION IS EXPRESSLY PROHIBITED.

https://wn.com/Iiroc_Announcement_On_Naked_Short_Selling_–_What_It_Means_For_Mining_Investors

Sep 19, 2022 Join one of Save Canadian Mining's founding members, Terry Lynch, and some special guests as they discuss the implication of IIROC's clarification on naked short selling, announced on Aug 17, 2022. Here are some questions that will be tackled: - What does this mean for companies that have been experiencing naked short selling on their stocks? - What does this mean for investment banks that now bear the full liability to insure naked short selling does not occur? - What does this mean for IIROC and security commissions across Canada? - What does this mean for investors? Is this good news? Terry is reaching out to industries, security lawyers and government officials for comments and insights into this recent announcement. #6ix_summit #SaveCanadianMining DISCLAIMER OF LIABILITY 6ix Inc. (“6ix”) licenses software to publicly traded issuers of securities (“Issuers” and each an “Issuer”) which can be used by Issuers to communicate with current and prospective investors (“Investors” and each an “Investor”) on the online platform maintained by 6ix Inc. at www.6ix.com (the “Platform”). Each Issuer is solely responsible for all content relating to the Issuer on the 6ix Platform, including without limitation all investor summits presented by the Issuer and all summary information about the Issuer on the 6ix Platform. All content provided on the 6ix Platform is for informational and educational purposes only and should not be construed as investment advice or an offer or solicitation in respect to any products or services. The content presented on the 6ix Platform should not be used as the basis for any investment decision, and does not purport to provide any legal, tax or accounting advice. There are inherent risks involved with investing in Issuers, as set out in the public disclosure record of each Issuer. Issuers are not responsible for revising or updating any information that they present on the 6ix Platform. Investors should refer to the continuous disclosure documents filed by each Issuer under applicable securities laws, including risk factors and warnings regarding “forward looking information”. Issuers are solely responsible for compliance with applicable securities laws, and 6ix makes no representations and provides no assurances to Investors regarding the accuracy or truthfulness of information presented by Issuers on the 6ix Platform or in their public disclosure records. 6ix is not licensed to trade, deal or advise in securities in any jurisdiction. 6ix does not recommend or endorse any Issuer on the 6ix Platform, nor does 6ix verify the accuracy of any information presented by Issuers to Investors on the 6ix Platform or in their public disclosure records. 6ix’s sole responsibility as the operator of the 6ix Platform is to provide software to Issuers and Investors through which Issuers and Investors communicate directly with each other without any intermediation or intervention by 6ix other than in respect of technical, logistical or advertising and marketing support. Issuers pay 6ix a licensing fee for use of the 6ix Platform, and 6ix may also receive payment from Issuers to pay for advertising on third-party websites. 6ix and its principals may make and hold investments in securities of Issuers on the 6ix Platform and 6ix may offer reduced rates for its software services to Issuers in which 6ix and/or its principals are invested. ALL CONTENT ON THE PLATFORM IS PROVIDED BY THE ISSUERS “AS IS” AND “AS AVAILABLE”. 6IX DOES NOT GUARANTEE THE ACCURACY OF ITS CONTENT. BY USING THE PLATFORM, EACH INVESTOR AGREES TO ACCEPT ANY RISKS ASSOCIATED WITH THE USE OF THE PLATFORM AND ACKNOWLEDGES THAT 6IX IS NOT RESPONSIBLE FOR ANY CONTENT PRESENTED BY OR RELATING TO ISSUERS ON THE PLATFORM. 6IX DOES NOT WARRANT THAT THE PROVISION OF INFORMATION BY ISSUERS ON THE PLATFORM WILL BE ERROR-FREE, TIMELY, COMPLETE OR ACCURATE. USE OF THE PLATFORM AND RELIANCE THEREON IS AT INVESTOR’S SOLE RISK. 6IX WILL NOT BE IN ANY WAY BE LIABLE TO ANY INVESTOR OR ISSUER OR ANY OTHER ENTITY OR PERSON FOR ANY INACCURACIES, ERRORS, OMISSIONS, DELAYS, DAMAGES, CLAIMS, LIABILITIES OR LOSSES, REGARDLESS OF CAUSE, IN OR ARISING FROM THE USE OF THE PLATFORM. IN NO EVENT WILL 6IX BE LIABLE FOR ANY DAMAGES, INCLUDING WITHOUT LIMITATION DIRECT OR INDIRECT, SPECIAL, INCIDENTAL, OR CONSEQUENTIAL DAMAGES, LOSSES OR EXPENSES ARISING IN CONNECTION WITH THE USE OF THE PLATFORM BY INVESTORS AND/OR ISSUERS EVEN IF 6IX IS ADVISED OF THE POSSIBILITY OF SUCH DAMAGES, LOSSES OR EXPENSES. FURTHER, 6IX SHALL NOT BE LIABLE IN ANY MANNER FOR THE PRODUCT OR SERVICES OF ANYONE WHO REDISTRIBUTES THE INFORMATION PROVIDED ON THE PLATFORM, AND SUCH REDISTRIBUTION IS EXPRESSLY PROHIBITED.

• published: 19 Sep 2022
• views: 1830

1:49

How to Get Continuing Education Credits (CFP®/PFP®/IIROC/Life Insurance)

• Order: Reorder
• Duration: 1:49
• Uploaded Date: 05 Nov 2021
• views: 2285

SeeWhy Learning is now offering Continuing Education packages to help you easily get your CE credits. Figuring out what requirements you need to complete your c...

SeeWhy Learning is now offering Continuing Education packages to help you easily get your CE credits. Figuring out what requirements you need to complete your continuing education courses can be difficult, but we've made it simple. All you have to do is head to our website and click on the package that matches your designation/credential OR if you have multiple designations/credentials select the "Grand Slam" package. These packages have been handpicked by our expert team to ensure that the courses within will fulfill your continuing education requirements. We offer packages for CFP®, IIROC, CIM®, CLU®, PFP®, and Life Insurance continuing education courses. No more worrying, no more procrastinating. Get your CE done today: https://seewhyce.ca/ Subscribe to our channel for more great content like this and visit http://www.seewhylearning.com to explore our entire suite of study tools. ----------- Follow our social media channels: Facebook: https://www.facebook.com/SeeWhyLearning/ Instagram: https://www.instagram.com/seewhylearning/ LinkedIn: https://www.linkedin.com/company/seewhylearning/ ----------- About SeeWhy Learning: SeeWhy Financial Learning Inc. is a Canadian company based in Huntsville, Ontario. All of SeeWhy Learning's exam preparation course materials and study tools are created in-house by professional, industry-leading, expert trainers and course writers. Online, email and telephone support are also in-house and staffed by industry and IT experienced team members. The founders and support management of SeeWhy Financial Learning have over 35 years of combined experience coaching and assisting thousands of students through their financial services education and regulatory exams with tremendous success. After hearing a topic explained properly by one of our trainers, our students often say,"Why doesn't the textbook just teach it that way?". Frankly, we're not sure, so we started our own company! We have a knack for making concepts seem easy.

https://wn.com/How_To_Get_Continuing_Education_Credits_(Cfp®_Pfp®_Iiroc_Life_Insurance)

SeeWhy Learning is now offering Continuing Education packages to help you easily get your CE credits. Figuring out what requirements you need to complete your continuing education courses can be difficult, but we've made it simple. All you have to do is head to our website and click on the package that matches your designation/credential OR if you have multiple designations/credentials select the "Grand Slam" package. These packages have been handpicked by our expert team to ensure that the courses within will fulfill your continuing education requirements. We offer packages for CFP®, IIROC, CIM®, CLU®, PFP®, and Life Insurance continuing education courses. No more worrying, no more procrastinating. Get your CE done today: https://seewhyce.ca/ Subscribe to our channel for more great content like this and visit http://www.seewhylearning.com to explore our entire suite of study tools. ----------- Follow our social media channels: Facebook: https://www.facebook.com/SeeWhyLearning/ Instagram: https://www.instagram.com/seewhylearning/ LinkedIn: https://www.linkedin.com/company/seewhylearning/ ----------- About SeeWhy Learning: SeeWhy Financial Learning Inc. is a Canadian company based in Huntsville, Ontario. All of SeeWhy Learning's exam preparation course materials and study tools are created in-house by professional, industry-leading, expert trainers and course writers. Online, email and telephone support are also in-house and staffed by industry and IT experienced team members. The founders and support management of SeeWhy Financial Learning have over 35 years of combined experience coaching and assisting thousands of students through their financial services education and regulatory exams with tremendous success. After hearing a topic explained properly by one of our trainers, our students often say,"Why doesn't the textbook just teach it that way?". Frankly, we're not sure, so we started our own company! We have a knack for making concepts seem easy.

• published: 05 Nov 2021
• views: 2285

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Ed Madro IIROC Transition Video

published: 02 Oct 2017

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Ed Madro IIROC Transition Video

Ed Madro IIROC Transition Video

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• published: 02 Oct 2017
• views: 117

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0:28

Investment Industry Regulatory organisation of canada | Trading Halt | Trader | Tsx venture Exchange

Investment Industry Regulatory organisation of canada | Trading Halt | Trader | Tsx ventur...

published: 21 Apr 2020

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Investment Industry Regulatory organisation of canada | Trading Halt | Trader | Tsx venture Exchange

Investment Industry Regulatory organisation of canada | Trading Halt | Trader | Tsx venture Exchange

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• published: 21 Apr 2020
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Investment Industry Regulatory organisation of canada | Trading Halt | Trader | Tsx venture Exchange | IIROC IIROC can make a decision to impose a temporary suspension (halt) of trading in a security of a publicly-listed company. Trading halts are implemented to ensure a fair and orderly market. IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. #TOP 10 #INVESTMENT #INDUSTRY #REGULATORY #CANADA #TRADING HALT #TRADER #TSX VENTURE EXCHANGE #IIROC #SUBSCRIBE #LIKE #SHARE #COMMENT #PEACE OUT

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13:23

The IIROC Short Selling Debate

In this InvestorIntel interview, host Tracy Weslosky brings together Power Nickel Inc.‘s (...

published: 06 Sep 2022

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The IIROC Short Selling Debate

The IIROC Short Selling Debate

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• published: 06 Sep 2022
• views: 181

In this InvestorIntel interview, host Tracy Weslosky brings together Power Nickel Inc.‘s (TSXV: PNPN | OTCQB: CMETF) CEO Terry Lynch and Founder of Save Canadian Mining, a movement to stop predatory short selling, along with compliance expert and CBLT Inc.’s (TSXV: CBLT) President, CEO, and Director Peter Clausi to debate about whether the recently released IIROC (the Investment Industry Regulatory Organization of Canada) guidance on short selling has any teeth and will have any effect on short sellers or brokerage houses. IIROC's August 17, 2022 Guidance Note sets out the rule that a short seller must have a “reasonable expectation” that sufficient shares will be available to settle any resulting trade on settlement date. As Terry Lynch and Peter Clausi point out, this is not a new rule, but a restatement of a current prohibition under UMIR 2.2 – Manipulative and Deceptive Activities. In the debate, which can also be viewed in full on the InvestorIntel YouTube channel (click here), Terry tells Tracy that the IIROC statement "has the potential to be big news," because "the problem was it wasn't well understood by the major investment banks, and so they didn't adhere to the practices. So now I think IIROC has clarified this once and for all and has clearly moved the liability away from from them and onto the people that don't follow the rules." Peter and Terry both agree that the recent IIROC guidance has shifted the responsibility for covering short selling from the individual investors to the brokerage houses who have to have a “reasonable expectation” that sufficient shares will be available to settle any resulting trade, but Peter Clausi points out that the IIROC guidance doesn't itself prohibit naked short selling, which is a major problem in the market. He also points out that there is tremendous wiggle room in the words "reasonable expectation" used by IIROC to make enforcement difficult, and in reality protects brokerage houses from prosecution. About Power Nickel Inc. Power Nickel is a Canadian junior exploration company focusing on high-potential copper, gold, and battery metal prospects in Canada and Chile. Power Nickel is the 100-per-cent owner of five properties comprising over 50,000 acres strategically located in the prolific iron-oxide-copper-gold belt of northern Chile. It also owns a 3-per-cent NSR royalty interest on any future production from the Copaquire copper-molybdenum deposit, recently sold to a subsidiary of Teck resources Inc. Under the terms of the sale agreement, Teck has the right to acquire one-third of the 3-per-cent NSR for $3-million at any time. The Copaquire property borders Teck’s producing Quebrada Blanca copper mine in Chile’s first region. About CBLT Inc. CBLT Inc. is a Canadian mineral exploration company with a proven leadership team, targeting lithium, cobalt and gold in reliable mining jurisdictions. CBLT is well-poised to deliver real value to its shareholders. Disclaimer: Power Nickel Inc. and CBLT Inc. are advertorial members of InvestorIntel Corp. This interview, which was produced by InvestorIntel Corp., (IIC), does not contain, nor does it purport to contain, a summary of all the material information concerning the “Company” being interviewed. IIC offers no representations or warranties that any of the information contained in this interview is accurate or complete. This presentation may contain “forward-looking statements” within the meaning of applicable Canadian securities legislation. Forward-looking statements are based on the opinions and assumptions of the management of the Company as of the date made. They are inherently susceptible to uncertainty and other factors that could cause actual events/results to differ materially from these forward-looking statements. Additional risks and uncertainties, including those that the Company does not know about now or that it currently deems immaterial, may also adversely affect the Company’s business or any investment therein. Any projections given are principally intended for use as objectives and are not intended, and should not be taken, as assurances that the projected results will be obtained by the Company. The assumptions used may not prove to be accurate and a potential decline in the Company’s financial condition or results of operations may negatively impact the value of its securities. Prospective investors are urged to review the Company’s profile on Sedar.com and to carry out independent investigations in order to determine their interest in investing in the Company. If you have any questions surrounding the content of this interview, please contact us at +1 416 792 8228 and/or email us direct at [email protected]. #IIROC #IIROCguidance #ShortSelling

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2:46

How to Choose Investment Advisor in Canada in 2022 | best investment Advisors MGA MFDA IIROC Canada

How to Choose Investment Advisor in Canada in 2022 | best investment Advisors #MGA #MFDA...

published: 20 Oct 2022

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How to Choose Investment Advisor in Canada in 2022 | best investment Advisors MGA MFDA IIROC Canada

How to Choose Investment Advisor in Canada in 2022 | best investment Advisors MGA MFDA IIROC Canada

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• published: 20 Oct 2022
• views: 173

How to Choose Investment Advisor in Canada in 2022 | best investment Advisors #MGA #MFDA #IIROC #StocksinCanada

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14:29

Episode 5 - Navigating the IIROC Arbitration Process

Episode 5 of the Points of Interest Series brought to you by the Investor Protection Clini...

published: 18 Feb 2022

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Episode 5 - Navigating the IIROC Arbitration Process

Episode 5 - Navigating the IIROC Arbitration Process

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• published: 18 Feb 2022
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Episode 5 of the Points of Interest Series brought to you by the Investor Protection Clinic at Osgoode Hall Law School and sponsored by the Law Foundation of Ontario. --------------------------- HELPFUL LINKS: Making a Complaint and How Can I Get My Money Back? A Guide for Investors (CIRO Complaints Brochure 2024): https://www.ciro.ca/media/7616/download?inline Dealers We Regulate: https://www.ciro.ca/office-investor/dealers-we-regulate https://www.iiroc.ca/investors/dealers-we-regulate Advisor Report: https://www.ciro.ca/office-investor/know-your-advisor-advisor-report CSA National Registration Database: https://www.securities-administrators.ca/nrs/nrsearchprep.aspx CCAC: https://ccac-adr.org/en/specialized-arbitration-procedure-for-disputes-arising-between-the-members-of-ciro-and-their-clients ADR Chambers: https://adrchambers.com/programs/ciro/ IIROC Arbitration Rules: https://adrchambers.com/wp-content/uploads/2017/06/2017-02-27-IIROC-Aritration-Rules.pdf Osgoode Investor Protection Clinic (Osgoode IPC) Website: https://bit.ly/OsgoodeIPC --------------------------- LEGAL DISCLAIMER: The content of this video does not constitute legal or investment advice. If you have any specific questions about any legal matter, you should consult a lawyer or other professional services provider. Produced by K+G Creative Media.

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3:04

Introduction to the IIROC 90-Day Advisor Training Program - Learnedly

Welcome to your first 90 days with your new CIRO Dealer firm. Get up to speed with industr...

published: 26 Mar 2021

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Introduction to the IIROC 90-Day Advisor Training Program - Learnedly

Introduction to the IIROC 90-Day Advisor Training Program - Learnedly

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• published: 26 Mar 2021
• views: 975

Welcome to your first 90 days with your new CIRO Dealer firm. Get up to speed with industry rules, regulations and best practices while you satisfy your mandatory 90-day training requirement. With a new course section released every week, this course is designed to be completed over a full 90-day period, allowing you to balance the learning with the onboarding experience with your new firm.

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8:19

加拿大银行前台工作人员的license ｜MFDA | IIROC | CSC Vol 1 知识点

#加拿大银行, #银行薪水 在加拿大银行前台工作的销售人员必须持有MFDA或者IIROC执照，才可以给客户提供服务。

published: 31 Jan 2020

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加拿大银行前台工作人员的license ｜MFDA | IIROC | CSC Vol 1 知识点

加拿大银行前台工作人员的license ｜MFDA | IIROC | CSC Vol 1 知识点

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• published: 31 Jan 2020
• views: 2239

#加拿大银行, #银行薪水 在加拿大银行前台工作的销售人员必须持有MFDA或者IIROC执照，才可以给客户提供服务。

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0:52

What you need to know about the MFDA and IIROC Merger

Recently, as many of you know, MFDA and IIROC merged to create a new governing body for al...

published: 19 Mar 2024

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What you need to know about the MFDA and IIROC Merger

What you need to know about the MFDA and IIROC Merger

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• published: 19 Mar 2024
• views: 302

Recently, as many of you know, MFDA and IIROC merged to create a new governing body for all financial advisors in Canada. Recently, I was at an advocacy event with the new CEO of this merged body, and he was speaking on stage about the scrutiny that they're having over compliance and conflicts of interest. Now, this may sound like all jargon to you, but what it means to the actual advisor is soon this governing body is going to be looking for timestamps and accurate pictures of when the email was sent, when the text message was sent, when the note was written. And all of that needs to be stored somewhere, and for now they're just warning advisors. But what is coming is they're going to start looking in your databases and making you prove that you've had these conversations with clients. Now, this might sound scary, but the good news is all you really need is a simple database to track your notes, track your emails, track all communication with clients, and those tools are out there, if you're interested. Book a Call https://massimoianniruberto3.zohobookings.com/#/clovendemo #lifeinsurancebrokers #lifeinsurancecanada #crm #insuranceindustry #leadmanagement #leads #leadmgmt #financialadvisor #financialadvisors #fintech

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59:14

IIROC Announcement on Naked Short Selling – What It Means for Mining Investors

Sep 19, 2022 Join one of Save Canadian Mining's founding members, Terry Lynch, and some s...

published: 19 Sep 2022

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IIROC Announcement on Naked Short Selling – What It Means for Mining Investors

IIROC Announcement on Naked Short Selling – What It Means for Mining Investors

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• published: 19 Sep 2022
• views: 1830

Sep 19, 2022 Join one of Save Canadian Mining's founding members, Terry Lynch, and some special guests as they discuss the implication of IIROC's clarification on naked short selling, announced on Aug 17, 2022. Here are some questions that will be tackled: - What does this mean for companies that have been experiencing naked short selling on their stocks? - What does this mean for investment banks that now bear the full liability to insure naked short selling does not occur? - What does this mean for IIROC and security commissions across Canada? - What does this mean for investors? Is this good news? Terry is reaching out to industries, security lawyers and government officials for comments and insights into this recent announcement. #6ix_summit #SaveCanadianMining DISCLAIMER OF LIABILITY 6ix Inc. (“6ix”) licenses software to publicly traded issuers of securities (“Issuers” and each an “Issuer”) which can be used by Issuers to communicate with current and prospective investors (“Investors” and each an “Investor”) on the online platform maintained by 6ix Inc. at www.6ix.com (the “Platform”). Each Issuer is solely responsible for all content relating to the Issuer on the 6ix Platform, including without limitation all investor summits presented by the Issuer and all summary information about the Issuer on the 6ix Platform. All content provided on the 6ix Platform is for informational and educational purposes only and should not be construed as investment advice or an offer or solicitation in respect to any products or services. The content presented on the 6ix Platform should not be used as the basis for any investment decision, and does not purport to provide any legal, tax or accounting advice. There are inherent risks involved with investing in Issuers, as set out in the public disclosure record of each Issuer. Issuers are not responsible for revising or updating any information that they present on the 6ix Platform. Investors should refer to the continuous disclosure documents filed by each Issuer under applicable securities laws, including risk factors and warnings regarding “forward looking information”. Issuers are solely responsible for compliance with applicable securities laws, and 6ix makes no representations and provides no assurances to Investors regarding the accuracy or truthfulness of information presented by Issuers on the 6ix Platform or in their public disclosure records. 6ix is not licensed to trade, deal or advise in securities in any jurisdiction. 6ix does not recommend or endorse any Issuer on the 6ix Platform, nor does 6ix verify the accuracy of any information presented by Issuers to Investors on the 6ix Platform or in their public disclosure records. 6ix’s sole responsibility as the operator of the 6ix Platform is to provide software to Issuers and Investors through which Issuers and Investors communicate directly with each other without any intermediation or intervention by 6ix other than in respect of technical, logistical or advertising and marketing support. Issuers pay 6ix a licensing fee for use of the 6ix Platform, and 6ix may also receive payment from Issuers to pay for advertising on third-party websites. 6ix and its principals may make and hold investments in securities of Issuers on the 6ix Platform and 6ix may offer reduced rates for its software services to Issuers in which 6ix and/or its principals are invested. ALL CONTENT ON THE PLATFORM IS PROVIDED BY THE ISSUERS “AS IS” AND “AS AVAILABLE”. 6IX DOES NOT GUARANTEE THE ACCURACY OF ITS CONTENT. BY USING THE PLATFORM, EACH INVESTOR AGREES TO ACCEPT ANY RISKS ASSOCIATED WITH THE USE OF THE PLATFORM AND ACKNOWLEDGES THAT 6IX IS NOT RESPONSIBLE FOR ANY CONTENT PRESENTED BY OR RELATING TO ISSUERS ON THE PLATFORM. 6IX DOES NOT WARRANT THAT THE PROVISION OF INFORMATION BY ISSUERS ON THE PLATFORM WILL BE ERROR-FREE, TIMELY, COMPLETE OR ACCURATE. USE OF THE PLATFORM AND RELIANCE THEREON IS AT INVESTOR’S SOLE RISK. 6IX WILL NOT BE IN ANY WAY BE LIABLE TO ANY INVESTOR OR ISSUER OR ANY OTHER ENTITY OR PERSON FOR ANY INACCURACIES, ERRORS, OMISSIONS, DELAYS, DAMAGES, CLAIMS, LIABILITIES OR LOSSES, REGARDLESS OF CAUSE, IN OR ARISING FROM THE USE OF THE PLATFORM. IN NO EVENT WILL 6IX BE LIABLE FOR ANY DAMAGES, INCLUDING WITHOUT LIMITATION DIRECT OR INDIRECT, SPECIAL, INCIDENTAL, OR CONSEQUENTIAL DAMAGES, LOSSES OR EXPENSES ARISING IN CONNECTION WITH THE USE OF THE PLATFORM BY INVESTORS AND/OR ISSUERS EVEN IF 6IX IS ADVISED OF THE POSSIBILITY OF SUCH DAMAGES, LOSSES OR EXPENSES. FURTHER, 6IX SHALL NOT BE LIABLE IN ANY MANNER FOR THE PRODUCT OR SERVICES OF ANYONE WHO REDISTRIBUTES THE INFORMATION PROVIDED ON THE PLATFORM, AND SUCH REDISTRIBUTION IS EXPRESSLY PROHIBITED.

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1:49

How to Get Continuing Education Credits (CFP®/PFP®/IIROC/Life Insurance)

SeeWhy Learning is now offering Continuing Education packages to help you easily get your ...

published: 05 Nov 2021

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How to Get Continuing Education Credits (CFP®/PFP®/IIROC/Life Insurance)

How to Get Continuing Education Credits (CFP®/PFP®/IIROC/Life Insurance)

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• published: 05 Nov 2021
• views: 2285

SeeWhy Learning is now offering Continuing Education packages to help you easily get your CE credits. Figuring out what requirements you need to complete your continuing education courses can be difficult, but we've made it simple. All you have to do is head to our website and click on the package that matches your designation/credential OR if you have multiple designations/credentials select the "Grand Slam" package. These packages have been handpicked by our expert team to ensure that the courses within will fulfill your continuing education requirements. We offer packages for CFP®, IIROC, CIM®, CLU®, PFP®, and Life Insurance continuing education courses. No more worrying, no more procrastinating. Get your CE done today: https://seewhyce.ca/ Subscribe to our channel for more great content like this and visit http://www.seewhylearning.com to explore our entire suite of study tools. ----------- Follow our social media channels: Facebook: https://www.facebook.com/SeeWhyLearning/ Instagram: https://www.instagram.com/seewhylearning/ LinkedIn: https://www.linkedin.com/company/seewhylearning/ ----------- About SeeWhy Learning: SeeWhy Financial Learning Inc. is a Canadian company based in Huntsville, Ontario. All of SeeWhy Learning's exam preparation course materials and study tools are created in-house by professional, industry-leading, expert trainers and course writers. Online, email and telephone support are also in-house and staffed by industry and IT experienced team members. The founders and support management of SeeWhy Financial Learning have over 35 years of combined experience coaching and assisting thousands of students through their financial services education and regulatory exams with tremendous success. After hearing a topic explained properly by one of our trainers, our students often say,"Why doesn't the textbook just teach it that way?". Frankly, we're not sure, so we started our own company! We have a knack for making concepts seem easy.

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Investment Industry Regulatory Organization of Canada

The Investment Industry Regulatory Organization of Canada (IIROC; Organisme Canadien de réglementation du commerce des valeurs mobilières or OCRCVM in French) is a non-profit, national self-regulatory organization (SRO). Established through the merger of the Investment Dealers Association of Canada (IDA) and Market Regulation Services Inc. (RS) on June 1, 2008, the IIROC regulates securities dealers which operate in Canada's equity and debt markets, and is overseen by the Canadian Securities Administrators.

The organization sets regulatory and investment industry standards and has quasi-judicial powers in that it holds compliance hearings and has the power to suspend, fine and expel members and registered representatives, such as advisers. However, it has often been criticized by investor advocates as ineffective.

History

IIROC was formed on June 1, 2008 through the merger of the Investment Dealers Association of Canada (IDA) and Market Regulation Services Inc. (RS).

Read more

This page contains text from Wikipedia, the Free Encyclopedia - https://wn.com/Investment_Industry_Regulatory_Organization_of_Canada

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• Breaking Up With God

  by Ark
• Burn The Sun

  by Ark
• Burning Down

  by Ark
• Calleth You, Cometh I

  by Ark
• Can't Let Go

  by Ark
• Center Avenue

  by Ark
• Clamour For Glamour

  by Ark
• Death To The Martyrs

  by Ark
• Cygnet To Cyngnet

  by Ark
• Cygnet To Cygnet

  by Ark
• Cracked Messiah

  by Ark
• A Virgin Like You

  by Ark
• Absolute Zero

  by Ark
• Absolutely No Decorum

  by Ark
• Ain't Too Proud To Bow

  by Ark
• All I Want Is You

  by Ark
• Angelheads

  by Ark
• Ballroom Blitz

  by Ark
• Beauty Is The Beast

  by Ark
• Bleed

  by Ark
• 2000 Light-Years Of Darkness

  by Ark
• Bottleneck Barbiturate

  by Ark
• Ditto

  by Erika
• QUIEREME OTRA VEZ

  by Erika
• Revivi

  by Erika
• Will I

  by Erika
• Save My Heart

  by Erika
• Right Or Wrong

  by Erika
• Relations!

  by Erika
• I Don't Know

  by Erika
• Escondidos

  by Erika
• EL ALMA EN PIE

  by Erika
• All My Time

  by Erika
• Lack Of Things To Talk About

  by Yuriko
• The Boy With Nails In His Eyes

  by Yuriko
• Bad Timing

  by Yuriko
• Eyes Are Black

  by Yuriko
• Kill Or Cure

  by Yuriko
• Short Of Tranquil Sleep

  by Yuriko
• Test The Waters

  by Yuriko
• Sleep Well Jackson

  by Yuriko
• Adoration Of The Kings

  by A.r.g.
• Back To Life

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• Straybullet

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• Died For What

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• In The Depths Of Sanity

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• Alone And Immortal

  by Ork
• Black Soul Desire

  by Ork
• Blessed By Evil

  by Ork
• Nosferatu

  by Ork

Breaking Up With God

by: Ark

Aooo-ooooh
Aooo-ooooh
Thought I headed straight
Thought I had it waiting for me
Thought it was my fate
I was only waiting for the sky to fall down
The sword of Damocles
Or at least I thought it was
Had me on my knees
That's when I saw it had the shape of a cross
Aooo-ooooh
I'm ready to give it up (up up up up up up..)
Aooo-ooooh
I heard the call, but I won't follow
'Cause now I'm breaking up with God
I've had it with shame, I've had it with sorrow
Now I'm breaking up with God
And the devil too
Now I wanna dance the night away
Aoooo
Reach my heaven alive
A world that's black and white
Has evil haunting every corner
Demons in the night
And no love, no love for the one who ain't right
Aooo-ooooh
I heard the call, but I won't follow
'Cause now I'm breaking up with God
I've had it with shame, I've had it with sorrow
Now I'm breaking up with God
And the Devil too
Now I wanna dance the night away
Aoooo
Reach my heaven alive
Aaaah aaah aaah
Aaaah aaah aaah
(We'll lead you home...)
Aooo-ooooh
I heard the call, but I won't follow
'Cause now I'm breaking up with God
I've had it with shame, I've had it with sorrow
Now I'm breaking up with God
I heard their call, but I won't follow
'Cause now I'm breaking up with God
I've had it with shame, I've had it with sorrow
Now I'm breaking up with God
And the Devil too
Now I wanna dance the night away
Aoooo
Reach my heaven alive
Aoooo
Now I wanna touch you right away
Aoooo, oooh
Find my own heaven alive
Aooo-ooooh

Latest News for: iiroc

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Investor Alert: CIRO & IIROC Impersonators Français

Canada Newswire 09 Oct 2024

TORONTO, /CNW/ - The Canadian Investment Regulatory Organization (CIRO) is warning Canadian investors not to be fooled by fraudsters impersonating CIRO and its predecessor IIROC ... See Avoiding Fraud and Protecting Your Investments ... .

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CSA/CIRO Staff Notice 23-332 – Summary of Comments and Responses to CSA/IIROC Staff Notice 23-329 Short Selling in Canada (CIRO - Canadian Investment Regulatory Organization)

Public Technologies 16 Nov 2023

Summary of Comments and Responses to Joint CSA / IIROC Staff Notice 23-329Short Selling in Canada ... to IIROC's previously published studies); dealers' practices already align with US counterparts.

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IIROC Trading Halt - THM

Canada Newswire 13 Nov 2023

VANCOUVER, BC, /CNW/ - The following issues have been halted by IIROC. ... For general information about IIROC, contact IIROC's Complaints and Inquiries team at [email protected] or 1-877-442-4322 (Option 2).

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Canadian Investment Regulatory Organization Trading Halt - GYM.WT (IIROC - Investment Industry Regulatory Organization of Canada)

Public Technologies 29 Sep 2023

IIROC - Investment Industry Regulatory Organization of Canada published this content on ...

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Canadian Investment Regulatory Organization Trading Halt - APLV (IIROC - Investment Industry Regulatory Organization of Canada)

Public Technologies 28 Sep 2023

IIROC - Investment Industry Regulatory Organization of Canada published this content on ...

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2022-2023 Annual Report (IIROC - Investment Industry Regulatory Organization of Canada)

Public Technologies 28 Sep 2023

) ... For more information, visit ciro.ca. About the Logo ... Disclaimer. IIROC - Investment Industry Regulatory Organization of Canada published this content on 28 September 2023 and is solely responsible for the information contained therein ... (noodl.

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Canadian Investment Regulatory Organization Trading Halt - TRUL (IIROC - Investment Industry Regulatory Organization of Canada)

Public Technologies 27 Sep 2023

IIROC - Investment Industry Regulatory Organization of Canada published this content on ...

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Canadian Investment Regulatory Organization Trade Resumption - AYR.A (IIROC - Investment Industry Regulatory Organization of Canada)

Public Technologies 27 Sep 2023

IIROC - Investment Industry Regulatory Organization of Canada published this content on ...

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Canadian Investment Regulatory Organization Trading Halt - ZAIR (IIROC - Investment Industry Regulatory Organization of Canada)

Public Technologies 26 Sep 2023

IIROC - Investment Industry Regulatory Organization of Canada published this content on ...

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Canadian Investment Regulatory Organization Trade Resumption - STRM (IIROC - Investment Industry Regulatory Organization of Canada)

Public Technologies 26 Sep 2023

IIROC - Investment Industry Regulatory Organization of Canada published this content on ...

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IN THE MATTER OF Michael Patrick White – Motion Decision (IIROC - Investment Industry Regulatory Organization of Canada)

Public Technologies 26 Sep 2023

03/17/22 IIROC to Hold Disciplinary Hearing for Michael Patrick White Type.Enforcement Notice ... 09/13/22 IIROC to Hold Disciplinary Hearing for Michael Patrick White Type.Enforcement Notice ... IIROC - ...

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CIRO Sanctions Louis Desprès (IIROC - Investment Industry Regulatory Organization of Canada)

Public Technologies 22 Sep 2023

The hearing panel's reasons for decision will be made available at www.iiroc.ca ... IIROC - Investment Industry Regulatory Organization of Canada published this content on 22 September 2023 and is solely responsible for the information contained therein.

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CIRO to Hold Disciplinary Hearing for Lucie Roland (IIROC - Investment Industry Regulatory Organization of Canada)

Public Technologies 13 Sep 2023

The date for the discipline hearing will be made available at www.iiroc.ca ... IIROC - Investment Industry Regulatory Organization of Canada published this content on 13 September 2023 and is solely responsible for the information contained therein.

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IIROC Trading Halt - RAMM

Canada Newswire 12 Sep 2023

VANCOUVER, BC, /CNW/ - The following issues have been halted by IIROC. ... For general information about IIROC, contact IIROC's Complaints and Inquiries team at [email protected] or 1-877-442-4322 (Option 2).

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CIRO to Hold a Settlement Hearing for Domino Au-Young (IIROC - Investment Industry Regulatory Organization of Canada)

Public Technologies 08 Sep 2023

If the agreement is accepted, the panel's decision and the settlement agreement will be made available at www.iiroc.ca ... IIROC - Investment Industry Regulatory Organization of Canada published this ...

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