IIROC Notice 14-0214 – Client Relationship Model – Phase 2 Performance reporting and fee / charge disclosure amendments to Dealer Member Rule 200 and to Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Proposed Continuance under Canada Not-for-Profit Corporations Act – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Request for Comment – Disclosure to Clients of Dealer Members’ Financial Position – Amendments to Dealer Member Rule 1400 – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 14-0157 – Rules Notice – Request for Comments – Disclosure to clients of Dealer Members’ financial position – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Request for Comment – Margin requirements for debt security obligations of supranational entities – Amendments to Dealer Member Rule 100.2(a)(ii) – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 14-0148 – Rules Notice – Request for Comments – Margin requirements for debt security obligations of supranational entities – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments to IIROC Dealer Member Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014 – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 14-0133 – Rules Notice – Notice of Approval/Implementation – Client Relationship Model – Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – Proposed Amendments to MFDA By-law No. 1 (Ombudservice) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice – Proposed Amendments to MFDA By-law No. 1 (Ombudservice) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Request for Comment – Proposed Amendments to MFDA By-law No. 1 (Investigatory Powers) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice – Proposed Amendments to MFDA By-law No. 1 (Investigatory Powers) – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – Proposed Amendments to MFDA By-law No. 1 (Governance) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice – Proposed Amendments to MFDA By-law No. 1 (Governance) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Deemed Approval – Housekeeping Amendments to Sample Auditor’s Reports in MFDA Form 1 – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Requirements Relating to the Disclosure of MFDA Membership – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – Proposed Continuing Education Requirements for MFDA Members and their Approved Persons – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Deemed Approval – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed amendments to MFDA Rule 1.2 (Individual Qualifications) – Resolution Certificate – Mutual Fund Dealers Association of Canada (MFDA)
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