Tag: foreign organized market

Save Those Exemption Requests – IIROC Proposes Amendments Respecting the Codification of Certain UMIR Exemptions

Apr 29, 2022 | Regulatory Compliance

The Investment Industry Regulatory Organization of Canada (IIROC) has proposed amendments to codify existing exemptions provided through exemptive relief applications that allow IIROC dealer participants to trade listed securities off-marketplace during a statutory...

Tag: foreign organized market

Save Those Exemption Requests – IIROC Proposes Amendments Respecting the Codification of Certain UMIR Exemptions

https://aumlaw.com/wp-content/uploads/2020/03/00268628.pdf

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