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  • CSA and IIROC Request Comments on Proposed Amendments to Order Protection Rule (OPR) | IIAC
    Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search IIAC Blog May 21 2014 CSA and IIROC Request Comments on Proposed Amendments to Order Protection Rule OPR IIAC seeks volunteers for Working Group On May 15 2014 the Canadian Securities Administrators CSA published for comment proposed amendments to National Instrument 23 101 Trading Rules NI 23 101 The proposals seek to address certain costs and inefficiencies related to the current application of OPR as well as concerns related to trading fees and market data fees IIROC concurrently issued proposed amendments to the Universal Market Integrity Rules UMIR that align with the CSA proposal Under the proposed amendments orders would be protected where displayed on a marketplace that has met certain criteria set out in the Notice and interim trading fee caps would be introduced The CSA is also proposing changes intended to address certain concerns related to market data fees and is planning to introduce a pilot study prohibiting the payment of rebates by marketplaces under the maker taker fee model The

    Original URL path: http://iiac.ca/csa-and-iiroc-request-comments-on-proposed-amendments-to-order-protection-rule-opr/ (2016-02-14)
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  • OPR | IIAC
    Hall of Fame Home Member Login Contact Us About the IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search Tag Archives OPR CSA and IIROC Request Comments on Proposed Amendments to Order Protection Rule OPR CSA and IIROC Request Comments on Proposed Amendments to Order Protection Rule OPR IIAC seeks volunteers for Working Group On May 15 2014 the Canadian Securities Administrators CSA published for comment proposed amendments to National Instrument 23 101 Trading Rules NI 23 101 The proposals seek to address certain costs and inefficiencies related to the current application of OPR as well as concerns related to trading fees and market data fees IIROC concurrently issued proposed amendments to the Universal Market Integrity Rules UMIR that align with the CSA proposal Under the proposed amendments orders would be protected where displayed on a marketplace that has met certain criteria set out in the Continue reading Tagged IIAC Working Groups

    Original URL path: http://iiac.ca/tag/opr/ (2016-02-14)
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  • Order Protection Rule | IIAC
    of Fame Home Member Login Contact Us About the IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search Tag Archives Order Protection Rule CSA and IIROC Request Comments on Proposed Amendments to Order Protection Rule OPR CSA and IIROC Request Comments on Proposed Amendments to Order Protection Rule OPR IIAC seeks volunteers for Working Group On May 15 2014 the Canadian Securities Administrators CSA published for comment proposed amendments to National Instrument 23 101 Trading Rules NI 23 101 The proposals seek to address certain costs and inefficiencies related to the current application of OPR as well as concerns related to trading fees and market data fees IIROC concurrently issued proposed amendments to the Universal Market Integrity Rules UMIR that align with the CSA proposal Under the proposed amendments orders would be protected where displayed on a marketplace that has met certain criteria set out in the Continue reading Tagged IIAC Working

    Original URL path: http://iiac.ca/tag/order-protection-rule/ (2016-02-14)
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  • IIAC
    IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search IIAC Blog May 15 2014 The IIAC along with IFIC and Osler Hoskin Harcourt LLP will host a CASL Compliance webinar at 2 00 p m ET on June 11 2014 The webinar will address compliance issues and strategies relating to the Canadian Anti Spam Legislation that will take effect July 2014 Webinar details Date Wednesday June 11 2014 Time 2 00 p m to 3 00 p m ET Topics will include An overview of the CASL Toolkit Primer recently posted to both the IIAC s and IFIC s members only websites Responses to questions received from IFIC and IIAC about certain FAQs in the Toolkit Primer and Comments on the CRTC s updated FAQs This webinar is free of charge for IIAC and IFIC member firms To register please send an email to rsvp iiac ca For further information please contact

    Original URL path: http://iiac.ca/7351/ (2016-02-14)
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  • Anti-Spam Legislation | IIAC
    the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search Tag Archives Anti Spam Legislation The IIAC along with IFIC and Osler Hoskin Harcourt LLP will host a CASL Compliance webinar at 2 00 p m ET on June 11 2014 The webinar will address compliance issues and strategies relating to the Canadian Anti Spam Legislation that will take effect July 2014 Webinar details Date Wednesday June 11 2014 Time 2 00 p m to 3 00 p m ET Topics will include An overview of the CASL Toolkit Primer recently posted to both the IIAC s and IFIC s members only websites Responses to questions received from IFIC and IIAC about certain Continue reading Tagged Anti Spam Legislation CASL Events Susan Copland Comments Off on Canada s new anti spam legislation CASL is coming into force on July 1 2014 A broad range of electronic messaging activities of all IIAC members will be impacted by this new legislation and there are potentially severe penalties for non compliance At the request of our members we have created a CASL Primer Toolkit available

    Original URL path: http://iiac.ca/tag/anti-spam-legislation/ (2016-02-14)
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  • IIAC
    Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search IIAC Blog April 24 2014 Canada s new anti spam legislation CASL is coming into force on July 1 2014 A broad range of electronic messaging activities of all IIAC members will be impacted by this new legislation and there are potentially severe penalties for non compliance At the request of our members we have created a CASL Primer Toolkit available for IIAC member firms only designed to provide members with a base level of understanding and distillation of the Act s requirements We worked with IFIC on this toolkit to ensure that we have an industry wide solution for both investment and mutual fund dealers CASL Map CASL Primer Toolkit The toolkit consists of three elements i Responses to a series of Frequently Asked Questions with hyperlinks to the relevant legislative provisions ii A suggested list of compliance steps set out as an appendix to the FAQ and iii Compliance charts for CASL s provisions dealing with commercial electronic messages and the installation of computer programs As many of you are aware CASL is quite technical and there are legal issues related to the precise scope and meaning of various provisions in the statute and regulations that remain outstanding While the Toolkit is not intended as legal advice the information and compliance charts are intended to assist members in the course of their assessment of risks and implementation of appropriately tailored compliance initiatives

    Original URL path: http://iiac.ca/6909/ (2016-02-14)
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  • IIAC Toolkit | IIAC
    Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Home Member Login Contact Us About the IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search Tag Archives IIAC Toolkit Canada s new anti spam legislation CASL is coming into force on July 1 2014 A broad range of electronic messaging activities of all IIAC members will be impacted by this new legislation and there are potentially severe penalties for non compliance At the request of our members we have created a CASL Primer Toolkit available for IIAC member firms only designed to provide members with a base level of understanding and distillation of the Act s requirements We worked with IFIC on this toolkit to ensure that we have an industry wide solution for both investment and mutual fund dealers CASL Continue reading Tagged Anti Spam Legislation CASL IIAC Toolkit Susan

    Original URL path: http://iiac.ca/tag/iiac-toolkit/ (2016-02-14)
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  • Investment Industry Calls for Regulation of All Financial Planners (IIAC blog) | IIAC
    Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search IIAC Blog September 21 2015 Investment Industry Calls for Regulation of All Financial Planners IIAC blog In a joint submission the Investment Industry Association of Canada IIAC and the Investment Funds Institute of Canada IFIC have called on the Ontario government to pass legislation that would regulate all financial planners Securities and insurance advisory services and planning that are ancillary to product recommendations are already well regulated in Ontario but there are gaps in non product related financial planning that need to be addressed for the benefit of investors The IIAC IFIC have called on the Ontario government to establish common standards for those individuals providing comprehensive financial plans to clients and or using the title financial planner or a similar title The investment industry associations have also asked the government of Ontario to work with other provinces and territories to harmonize regulation of financial planners across all Canadian jurisdictions Additional details regarding our proposals are

    Original URL path: http://iiac.ca/investment-industry-calls-for-regulation-of-all-financial-planners-iiac-blog/ (2016-02-14)
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