le 25 octobre 2012 Concept Proposal CSA Consultation Paper 33-403 - The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients Documents d'Instruments, règles et politiques
le 18 juin 2013 Concept Proposal Transcript: Investor Roundtable Re: CSA Consultation Paper 33-403 - Statutory Best Interest Duty for Advisors and Dealers (June 18, 2013) Documents d'Instruments, règles et politiques
le 15 novembre 2012 Request for Comment National Instrument Notice and Request for Comment: Proposed Amendments on NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations Documents d'Instruments, règles et politiques
le 28 mars 2013 Amendments to National Instrument CSA Notice Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to 31-103CP (Cost Disclosure, Performance Reporting and Client Statements) Documents d'Instruments, règles et politiques
le 6 juin 2013 Amendments to National Instrument Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Documents d'Instruments, règles et politiques
le 6 juin 2013 Notice of Ministerial Approval National Instrument Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Documents d'Instruments, règles et politiques
le 5 décembre 2013 Request for Comment National Instrument Proposed Amendments: NI 31-103, NI 33-109, NI 52-107, OSC Rule 33-506 and OSC Rule 35-502 and Related Forms Documents d'Instruments, règles et politiques
le 19 décembre 2013 Amendments to National Instrument Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations - Dispute Resolution Services Documents d'Instruments, règles et politiques
le 27 février 2014 CSA Notice CSA Staff Notice: 31-337 - Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance as of February 27, 2014 Documents d'Instruments, règles et politiques
le 6 mars 2014 Amendments to National Instrument Amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations Documents d'Instruments, règles et politiques
le 6 mars 2014 Amendments to National Instrument Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Documents d'Instruments, règles et politiques
le 6 mars 2014 Notice of Ministerial Approval National Instrument Notice of Ministerial Approval: Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP Documents d'Instruments, règles et politiques
le 25 novembre 2011 Request for Comment National Instrument Notice of Proposed Pre-Marketing and Marketing Amendments to Prospectus Rules Documents d'Instruments, règles et politiques
le 16 juillet 2010 Demande de commentaires National Instrument Notice and Request for Comment: Proposed NI 25-101 Designated Rating Organizations, Related Policies and Consequential Amendments Documents d'Instruments, règles et politiques
le 5 décembre 2019 Type of Memorandum Protocoles Dentente Internationaux Notice of Ministerial Approval of Amended and Restated MOU with the UK Financial Conduct Authority – Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Alternative Investment Fund Managers Memorandum of understanding
le 3 octobre 2019 Type of Memorandum Protocoles Dentente Internationaux Notice of Amended and Restated Memorandum of Understanding with the UK Financial Conduct Authority Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Alternative Investment Fund Managers Memorandum of understanding
le 2 juillet 2020 Type of Memorandum Protocoles Dentente Nationaux Notice of Amendment of Agreement among Certain Provincial Securities Regulatory Authorities in respect of the Ownership and Licensing of the Intellectual Property Comprising the System for Electronic Document Analysis and Retrieval (SEDAR), the System for Electronic Disclosure by Insiders (SEDI), and the National Registration Database (NRD) (CSA National Systems) to Extend Scope to New CSA National Systems Memorandum of understanding
le 25 juin 2020 Type of Memorandum Protocoles Dentente Nationaux Notice of Memorandum of Understanding – Memorandum of Understanding Respecting the Oversight of Exchanges and Quotation and Trade Reporting Systems Memorandum of understanding
le 30 avril 2020 Type of Memorandum Protocoles Dentente Nationaux Notice of Coming into Effect – Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Between the Ontario Securities Commission and the Canadian Public Accountability Board Memorandum of understanding
le 27 février 2020 Type of Memorandum Protocoles Dentente Nationaux Notice of Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Between the Ontario Securities Commission and the Canadian Public Accountability Board Memorandum of understanding
