OSC in the Community (Webinar)
Évènements
OSC in the Community (Webinar)
Évènements
OSC in the Community (Webinar)
Évènements
Notice of Commission Approval of Amended Memorandum of Understanding Regarding Oversight of the Mutual Fund Dealers Association of Canada (MFDA) (effective April 1, 2021)
Marchés, OAR et agences de compensation
Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Withdrawal of Proposed Changes – Liquidnet Canada Inc.
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Notice of Commission Approval – Client Focused Reforms Rule Amendments – Mutual Fund Dealers Association of Canada (MFDA)
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Mutual Fund Dealers Association of Canada (MFDA) – Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited) – Notice of Withdrawal
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Notice of Withdrawal – Proposed Amendments to MFDA Rules 2.3.1(b) (Discretionary Trading) and 2.2.5 (Relationship Disclosure) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Proposed Change and Request for Comment – Proposed Fee Model for TSX and TSXV Listed Securities Trading on the CSE – Canadian Securities Exchange
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National Registration Database 101
Évènements
Notice of Commission Approval – Proposed Amendments to the Rules, Operations Manual, Risk Manual and Default Manual of the CDCC to Introduce a Supplemental Liquidity Fund – Canadian Derivatives Clearing Corporation (CDCC)
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Notice of Revocation Order – SS&C Technologies Canada Corp.
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Request for Comment – Proposed Amendments Respecting Reporting, Internal Investigation and Client Complaint Requirements – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Variation Order – LCH Limited
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OSC Staff Notice of Request for Comment – Proposed Additional Amendments to the Rules, Operations Manual, Risk Manual and Default Manual of the CDCC on the Gross Client Margin (GCM) Model Initiative – Canadian Derivatives Clearing Corporation (CDCC)
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Request for Comment – Proposed New MFDA Policy No. 11 – Proficiency Standards for the Sale of Alternative Mutual Funds – Mutual Fund Dealers Association of Canada (MFDA)
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IIROC-IIAC INNOVATION FORUM
Évènements
Application on behalf of Carta Capital Markets, LLC for exemptive relief under the Passport System – Osler, Hoskin & Harcourt LLP – Carta Capital Markets, LLC
Marchés, OAR et agences de compensation
Notice and Request for Comment – Application for an Exemption from the Marketplace Rules – Carta Capital Markets, LLC
Marchés, OAR et agences de compensation
