Review Registration - Organization

This version of the registration was submitted prior to the Lobbying Transparency Act coming into force on May 4, 2020. Due to different information requirements at that time, the registration is presented in the following format.

Registration ID: 34374763
Submitted by lobbyist on: September 22, 2017 09:14:49 AM
Accepted by Registrar on: September 22, 2017 11:19:47 AM

Designated Filer Information

Kriegler, Andrew J  
121 King St. West Suite 2000  
Toronto, ON, M5H 3T9
416-364-6133
Canada  

Organization Information

Investment Industry Regulatory Organization of Canada (IIROC)  
IIROC is the pan-Canadian public interest self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada
121 King St. West Suite 2000  
Toronto, ON, M5H 3T9
416-943-5781
Canada  

Relevant Affiliates

The client has no relevant affiliates.

Government or Government Agency Funding


The organization does not receive any funding from a government or government agency.

Other Controlling or Directing Interests

The organization has no other controlling or directing interests.

Active Registration Period

September 22, 2017  
March 22, 2018  

Organization's In-House Lobbyists

 



Name: Becker, Lucy
 
September 22, 2017  
Inactivation Date: March 26, 2018

BC Public Office Background

This individual has not held any public office positions in BC.

Lobbying Activities

Financial Institutions

Introduction, modification or repeal of legislation, a bill or regulation

IIROC is a recognized self regulatory organization under the BC Securities Act. We are seeking amendments to the Securities Act to: (1) grant us statutory immunity in the exercise of our regulatory duty; (2) allow us to compel evidence in our disciplinary investigations and hearings; and (3) allow us to enforce our disciplinary fines through the superior court.

Target Contacts

Target Type Name Title or Constituency Date Added
Staff of MLA Victoria-Beacon Hill September 22, 2017
Staff of Minister Minister of Health September 22, 2017
Staff of Minister Premier September 22, 2017
Staff of Minister Premier September 22, 2017
Staff of Minister Premier September 22, 2017
Minister Dix, Adrian Minister of Health September 22, 2017
Minister James, Carole Minister of Finance September 22, 2017
MLA James, Carole Victoria-Beacon Hill September 22, 2017
Public Agency Finance September 22, 2017

Name: Funt, Warren
 
September 22, 2017  
Inactivation Date: March 26, 2018

BC Public Office Background

This individual has not held any public office positions in BC.

Lobbying Activities

Financial Institutions

Introduction, modification or repeal of legislation, a bill or regulation

IIROC is a recognized self regulatory organization under the BC Securities Act. We are seeking amendments to the Securities Act to: (1) grant us statutory immunity in the exercise of our regulatory duty; (2) allow us to compel evidence in our disciplinary investigations and hearings; and (3) allow us to enforce our disciplinary fines through the superior court.

Target Contacts

Target Type Name Title or Constituency Date Added
Staff of MLA Victoria-Beacon Hill September 22, 2017
Staff of Minister Minister of Health September 22, 2017
Staff of Minister Premier September 22, 2017
Staff of Minister Premier September 22, 2017
Staff of Minister Premier September 22, 2017
Minister Dix, Adrian Minister of Health September 22, 2017
Minister James, Carole Minister of Finance September 22, 2017
MLA James, Carole Victoria-Beacon Hill September 22, 2017
Public Agency Finance September 22, 2017

Name: Howard, Paul
 
September 22, 2017  
Inactivation Date: March 26, 2018

BC Public Office Background

This individual has not held any public office positions in BC.

Lobbying Activities

Financial Institutions

Introduction, modification or repeal of legislation, a bill or regulation

IIROC is a recognized self regulatory organization under the BC Securities Act. We are seeking amendments to the Securities Act to: (1) grant us statutory immunity in the exercise of our regulatory duty; (2) allow us to compel evidence in our disciplinary investigations and hearings; and (3) allow us to enforce our disciplinary fines through the superior court.

Target Contacts

Target Type Name Title or Constituency Date Added
Staff of MLA Victoria-Beacon Hill September 22, 2017
Staff of Minister Minister of Health September 22, 2017
Staff of Minister Premier September 22, 2017
Staff of Minister Premier September 22, 2017
Staff of Minister Premier September 22, 2017
Minister Dix, Adrian Minister of Health September 22, 2017
Minister James, Carole Minister of Finance September 22, 2017
MLA James, Carole Victoria-Beacon Hill September 22, 2017
Public Agency Finance September 22, 2017

Name: Iannetta, Diana
 
September 22, 2017  
Inactivation Date: December 14, 2017

BC Public Office Background

This individual has not held any public office positions in BC.

Lobbying Activities

Financial Institutions

Introduction, modification or repeal of legislation, a bill or regulation

IIROC is a recognized self regulatory organization under the BC Securities Act. We are seeking amendments to the Securities Act to: (1) grant us statutory immunity in the exercise of our regulatory duty; (2) allow us to compel evidence in our disciplinary investigations and hearings; and (3) allow us to enforce our disciplinary fines through the superior court.

Target Contacts

Target Type Name Title or Constituency Date Added
Staff of MLA Victoria-Beacon Hill September 22, 2017
Staff of Minister Minister of Health September 22, 2017
Staff of Minister Premier September 22, 2017
Staff of Minister Premier September 22, 2017
Staff of Minister Premier September 22, 2017
Minister Dix, Adrian Minister of Health September 22, 2017
Minister James, Carole Minister of Finance September 22, 2017
MLA James, Carole Victoria-Beacon Hill September 22, 2017
Public Agency Finance September 22, 2017

Name: Kriegler, Andrew J
 
September 22, 2017  
Inactivation Date: March 26, 2018

BC Public Office Background

This individual has not held any public office positions in BC.

Lobbying Activities

Financial Institutions

Introduction, modification or repeal of legislation, a bill or regulation

IIROC is a recognized self regulatory organization under the BC Securities Act. We are seeking amendments to the Securities Act to: (1) grant us statutory immunity in the exercise of our regulatory duty; (2) allow us to compel evidence in our disciplinary investigations and hearings; and (3) allow us to enforce our disciplinary fines through the superior court.

Target Contacts

Target Type Name Title or Constituency Date Added
Staff of MLA Victoria-Beacon Hill September 22, 2017
Staff of Minister Minister of Health September 22, 2017
Staff of Minister Premier September 22, 2017
Staff of Minister Premier September 22, 2017
Staff of Minister Premier September 22, 2017
Minister Dix, Adrian Minister of Health September 22, 2017
Minister James, Carole Minister of Finance September 22, 2017
MLA James, Carole Victoria-Beacon Hill September 22, 2017
Public Agency Finance September 22, 2017