An individual designated by the Dealer Member and approved under the IDPC Rules to provide discretionary portfolio management for managed accounts. The ...

2 дек. 2021 г. · For information on our APM and PM proficiency and other approval requirements, please see IIROC Rule 2600 and GN-2600-21-001 – Plain Language ...

Introduction. (1) Rule 1100 sets out general rules of interpretation that apply to the IIROC requirements, and certain specific interpretative provisions.

14 окт. 2021 г. · This Notice provides guidance to Dealer Members on best practices when entering into Portfolio Manager – Dealer Member Service Arrangements (PMDSA) with ...

Research, track & file exemption applications. Determine application type requirements for local exemption application.

REPORTED TO IIROC DEALER. At all times, the Portfolio Manager shall comply with the following requirements: • The Portfolio Manager shall ensure that it ...

Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members [CSA Notice 31-347]. Number. 31-347. Category. 3 - Registration, Compliance ...

(a) the individual has passed the Canadian Investment Funds Course Exam, the. Canadian Securities Course Exam or the Investment Funds in Canada Course. Exam;. ( ...

17 нояб. 2016 г. · This Notice provides information and guidance to registered portfolio managers (PMs) that enter into service arrangements with dealer members (DMs)

Investment Dealers must be a member and follow the rules of the. Investment Industry Regulatory Organization of Canada (IIROC). ... Portfolio Manager. A firm that ...