le 29 septembre 2016 Document Canadian Independent Asset Management: CSA Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients Documents ouverts dans un nouvel onglet Comment letters
le 30 septembre 2016 Document Michelle Alexander and Naomi Solomon (The Investment Industry Association of Canada): CSA Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients Documents ouverts dans un nouvel onglet Comment letters
le 30 août 2017 Document Shannon Seitz (Western Union Business Solutions): CSA Notice and Request for Comment - Proposed National Instrument 93-101 Derivatives: Business Conduct and a related proposed companion policy Documents ouverts dans un nouvel onglet Comment letters
le 30 août 2017 Document The Canadian Market Infrastructure Committee: CSA Notice and Request for Comment - Proposed National Instrument 93-101 Derivatives: Business Conduct and a related proposed companion policy Documents ouverts dans un nouvel onglet Comment letters
25-304 - IRP Title Application for Recognition of New Self-Regulatory Organization Instruments, règles et politiques
25-305 - IRP Title Application for Approval of the New Investor Protection Fund Instruments, règles et politiques
45-328 - IRP Title Update on Amendments relating to Syndicated Mortgages Instruments, règles et politiques
21-329 - IRP Title Guidance for Crypto-Asset Trading Platforms: Compliance with Regulatory Requirements Instruments, règles et politiques
IRP Title OSC Policy 4.3 (33-101) Self-Directed RRSP's and Other Plans Recognized by the Commission for Purposes of this Policy Statement and Administered by Brokers or Investment Dealers on Behalf of Authorized Trustees - OSC Policy 4.3 (33-101) Self-Directed RRSP's and Other Plans Recognized by the Commission for Purposes of this Policy Statement and Administered by Brokers or Investment Dealers on Behalf of Authorized Trustees Instruments, règles et politiques
IRP Title OSC Policy 4.3 (33-101) Self-Directed RRSP's and Other Plans Recognized by the Commission for Purposes of this Policy Statement and Administered by Brokers or Investment Dealers on Behalf of Authorized Trustees - OSC Policy 4.3 (33-101) Self-Directed RRSP's and Other Plans Recognized by the Commission for Purposes of this Policy Statement and Administered by Brokers or Investment Dealers on Behalf of Authorized Trustees Instruments, règles et politiques
13-508 - IRP Title Extension of Moratorium on Outside Activities Late Filing Fees Instruments, règles et politiques
13-509 - IRP Title Extension of Moratorium on Outside Activities Late Filing Fees (Commodity Futures Act) Instruments, règles et politiques
33-753 - IRP Title OSC Consultation on Tied Selling and other Anti-Competitive Practices in the Capital Markets Instruments, règles et politiques
25-307 - IRP Title Recognition of New Self-Regulatory Organization of Canada Instruments, règles et politiques
81-333 - IRP Title Guidance on Effective Liquidity Risk Management for Investment Funds Instruments, règles et politiques
44-501 - IRP Title Exemption from Certain Prospectus Requirements for Well-known Seasoned Issuers (Interim Class Order) Instruments, règles et politiques
11-344 - IRP Title Notice of Local Amendments in Certain Jurisdictions Instruments, règles et politiques
81-508 - IRP Title Temporary Exemptions from the OEO Trailer Ban to Facilitate Dealer Rebates of Trailing Commissions and Client Transfers Instruments, règles et politiques
25-308 - IRP Title Approval and Acceptance of Canadian Investor Protection Fund Instruments, règles et politiques
