OSC Staff Notice: 32-702 - Applications for Exemption from the Time Limits on Completion of Courses and Previous Registrations
Documents d'Instruments, règles et politiques
Notice: NI - 33-101 - Administration of Self-Directed RRSPs, RESPs and RRIFs by Dealers
Documents d'Instruments, règles et politiques
Proposed National Instrument: NI - 33-101 - Administration of Self-Directed RRSPs, RESPs and RRIFs by Dealers
Documents d'Instruments, règles et politiques
Appendix A: NI - 33-102 - Revised Principles of Regulation - National Instrument 33-102 Registrant Dealings with Clients
Documents d'Instruments, règles et politiques
Request for Comments: NI - 31-101 - Requirements Under the National Registration System
Documents d'Instruments, règles et politiques
Fast Answers (FAQ's) on National Registration System: NI - 31-101 - National Registration System
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-309 - Proposed NI 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements
Documents d'Instruments, règles et politiques
Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and Companion Policy 31-103CP Registration Requirements and Exemptions - Exemptions from certain requirements for SRO Members
Documents d'Instruments, règles et politiques
Unofficial Consolidated Rule as of September 28, 2009: OSC Rule - 31-505 - Conditions of Registration
Documents d'Instruments, règles et politiques
Notice and Proposed Rule: OSC Rule - 31-506 - SRO Membership - Mutual Funds Dealers
Documents d'Instruments, règles et politiques
Notice and Proposed Changes to Proposed Rule: OSC Rule - 31-506 - SRO Membership - Mutual Funds Dealers
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-335 - Extension of Interim Relief for Members of IIROC from the Requirement in section 14.2(1) of NI 31-103 in Respect of the Provision of Relationship Disclosure Information to Existing Clients
Documents d'Instruments, règles et politiques
Notice of Ministerial Approval: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
Documents d'Instruments, règles et politiques
Transcript: Industry Roundtable Re: CSA Consultation Paper 33-403 - Statutory Best Interest Duty for Advisors and Dealers (June 25, 2013)
Documents d'Instruments, règles et politiques
Transcript: Panel Discussion Re: CSA Consultation Paper 33-403 - Statutory Best Interest Duty for Advisors and Dealers (July 23, 2013)
Documents d'Instruments, règles et politiques
Backgrounder: Investor Roundtable - Canadian Securities Administrators’ (CSA) Consultation on a Best Interest Standard
Documents d'Instruments, règles et politiques
CSA Staff Notice: 33-316 - Status Report on Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients
Documents d'Instruments, règles et politiques
CSA Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients
Documents d'Instruments, règles et politiques
Notice and Proposed Changes to Proposed Rule: OSC Rule - 31-506 - SRO Membership - Mutual Funds Dealers
Documents d'Instruments, règles et politiques
Final Rule: OSC Rule - 31-506 - SRO Membership - Mutual Funds Dealers
Documents d'Instruments, règles et politiques
