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Taking policies and procedures manual, Ontario Securities Act, IIROC and UMIR rules and creating an internal Wiki and/or data visualization with links to regulatory and exchange websites for cross referencing, embedding regulatory checklist references for an IIROC regulated investment dealer. Some onsite consultation expected in Toronto financial core.
Potential for subsequent multi-level data visualization assignment referencing current and historical relationships between dealers, issuers, investors, directors and Management.
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