Proposed Conforming Amendments to MFDA Rules Resulting from National Instrument 31-103 Registration Requirements And Exemptions – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA Policy 3 – Complaint Handling, Supervisory Investigations and Internal Discipline – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA Policy 3 – Relating to Client Complaint Handling – Mutual Fund Dealers Association of Canada (MFDA)
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Second Publication for Comment of Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 – Mutual Fund Dealers Association of Canada (MFDA)
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Second Publication for Comment of Proposed Amendments to Implement Core Principles of the Client Relationship Model – Correction – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA)
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Response to Comments on Client Relationship Model Rules and Amendments to IIROC Dealer Member Rules 200 and 1300 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments to MFDA Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014 – Mutual Fund Dealers Association of Canada (MFDA)
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Amended and Restated Recognition Order of RS
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Notice of Commission Approval of Recognition of Market Regulation Services Inc. and Comments received and responses
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Notice and Request by BCSC and ASC for further comment on Fee Model
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Application and Request for Comment
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Notice of Commission Approval – Amendments to the Universal Market Integrity Rules Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice 11-0050 – Request for Comments – Proposed Amendment of Sections 5.4 and 5.7 of IIROC By-law No. 1 – Director Election and Term – Filling Vacancies – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval - Proposed IDA Policy No. 4 Minimum Standards for Institutional Account Opening, Operation and Supervision
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Notice of Commission Approval - Housekeeping Amendments to IDA By-law 15 - Association Accounts and Funds and Execution of Instruments
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IIROC Notice 15-0262 – Withdrawal of proposed amendments to Dealer Member Rule 100.2(a)(ii) relating to the margin requirements for debt security obligations of supranational entities – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice and Request for Comment – Proposed Amendments to Dealer Member Rules and Universal Market Integrity Rules (UMIR) – Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC)
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