IDA ByLaw No. 28 Discretionary Fund
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IDA Regulations 100.4A, 100.4B, 100.4C, 100.4D, 100.4E and 100.4K - Extending Debt Offsets to Customer Positions
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Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Proposed amendments to MFDA Rule 1.2 (Individual Qualifications) – Resolution Certificate – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
OSC Staff Notice of Commission Approval – Housekeeping Amendments to Rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Clean Up Amendment – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Request for Comments – Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
MFDA Notice – Housekeeping Amendments to MFDA rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
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)
Marchés, OAR et agences de compensation
OSC Staff Notice of Approval – Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Corporate Resolution – RE: Proposed Housekeeping amendments re: CRM2 – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Guidance Note – IIROC Rules Notice 12-0109 – Know your Client and Suitability – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Guidance Note – IIROC Rules Notice 12-0108 – Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice of Approval – IIROC Rules Notice 12-0107 – Client Relationship Model – Implementation – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Proposed Amendments to MFD A Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Proposed amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Resolution Certificate – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Amendments to IIROC’s proposals to implement the core principles of the Client Relationship Model and related guidance notes – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Approval of Proposed Change to the MATCHNow Trading System – TriAct Canada Marketplace LP
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Staff Notice and Request for Comment – Application for Variation of Exemption Order – CME Amsterdam B.V.
Marchés, OAR et agences de compensation
