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.
