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Re Jensen IN THE MATTER OF: THE DEALER MEMBER RULES OF THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA ANOTHER BYLAWS OF THE INVESTMENT DEALERS ASSOCIATION OF CANADA AND VICTORIA JENSEN

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What is iirocinvestment industry regulatory organization?

The IIROC (Investment Industry Regulatory Organization of Canada) is a national self-regulatory organization that oversees investment dealers and trading activity on debt and equity marketplaces in Canada.

Who is required to file iirocinvestment industry regulatory organization?

All investment dealers and trading firms that are members of IIROC are required to file IIROC reports and documents.

How to fill out iirocinvestment industry regulatory organization?

Filing with IIROC typically involves completing standardized forms provided by IIROC and submitting them through their electronic reporting system or as instructed in their guidelines.

What is the purpose of iirocinvestment industry regulatory organization?

The purpose of IIROC is to protect investors and enhance the integrity of the Canadian capital markets by ensuring that members adhere to high standards of conduct and sound business practices.

What information must be reported on iirocinvestment industry regulatory organization?

Firms are required to report financial data, compliance assessments, risk management practices, and any material changes to their business operations or structure.

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