Final Rule (effective April 7,1998): OSC Rule - 33-504 - Compliance with Section 42
Documents d'Instruments, règles et politiques
Notice of Proposed Rule: OSC Rule 33-505 - (Commodity Futures Act) Permanent Registration
Documents d'Instruments, règles et politiques
Request for Comment - Notice of Proposed Amendments: OSC Rule - 31-509 - Rule and Companion Policy - National Registration Database
Documents d'Instruments, règles et politiques
Amended National Instrument 31-103, National Instrument 33-109 and OSC Rule 33-506
Documents d'Instruments, règles et politiques
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
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Multilateral Instrument: NI - 33-109 - Registration Information Requirements
Documents d'Instruments, règles et politiques
Final Multilateral Instrument and Companion Policy: NI - 33-109 - Registration Information Requirements
Documents d'Instruments, règles et politiques
Multilateral Instrument, Companion Policy, and Forms: NI - 33-109 - Registration Information Requirements
Documents d'Instruments, règles et politiques
Notice - Appendix A to the Notice of Proposed Multilateral Instrument 33-109: NI - 33-109 - Registration Information Requirements
Documents d'Instruments, règles et politiques
Notice and Request for Comments: NI - 33-109 - Registration Information Requirements
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-740 - Report on the results of the 2012 targeted review of portfolio managers and exempt market dealers to assess compliance with the know-your-client, know-your-product and suitability obligations
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-741 - Report on the Results of the Reviews of Capital Markets Participation Fees
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-742 - 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-743 - Guidance on sales practices, expense allocation and other relevant areas developed from the results of the targeted review of large investment fund managers
Documents d'Instruments, règles et politiques
OSC Staff Notice 33-744 - Availability of registration exemptions to foreign dealers in connection with trades in options and futures contracts under the Commodity Futures Act (Ontario)
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-745 - 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-746 - 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
OSC Staff Notice 33-747 - Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
OSC Staff Notice 33-748 - Annual Summary Report for Dealers, Advisers and Investment Fund Managers
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
