OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Proposed Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading) – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Commission Approval – Client Relationship Model – Phase 2 – 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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Request for Comment – IIROC Rules Notice – Proposed Amendments to Universal Market Integrity Rules (UMIR) – Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 12-0130 – Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Commission Approval – MFDA Investor Protection Corporation (“MFDA IPC”) – Amendments to Agreement between MFDA IPC and the Mutual Fund Dealers Association of Canada (“MFDA”) (“The Services Agreement”)
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OSC Staff Notice of Commission Approval – Amendments to MFDA Rule 2.2.1 and Policy No. 2 – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Approval – Housekeeping Amendments to Form 1 (Financial Questionnaire and Report (IFRS)) – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to MFDA By-Law No. 1 (Definitions), Rule 2.5.5 (Branch Manager) and Policy No. 2 – Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice – Notice of Revocation of the 2008 Commission Approval to 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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OSC Staff Notice of Approval – Proposed Amendments to Section 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
OSC Staff Notice of Approval – Amendments to MFDA Rule 3.3.2 and Internal Control Policy Statement 4 – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Commission Approval – Proposed Amendments to MFDA Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
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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Proposed Amendments to MFDA Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Proposal for an Integrated Fee Model – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice: Plain language rule re-write project - Dealer Member Margin Rules, Rules 5100 through 5800
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Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Dealer Member Margin Rules, Rules 5100 through 5800 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – IIROC Rules Notice – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
