Oversight Review Report of the Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Oversight Review Report of the Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Publication of Corporate Governance Section Report for MFDA Oversight Review Report – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Notice and Request for Comment – Application for Exemption from Recognition as a Clearing Agency – Fixed Income Clearing Corporation (FICC)
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Notice of Commission Order – Application for Exemptive Relief – Fixed Income Clearing Corporation (FICC)
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Notice of Commission Order – Application for Interim Exemptive Relief – Eurex Clearing AG
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Notice of Commission Order – Variation to the Interim Exemption Order – Eurex Clearing AG
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Proposed Amendments to MFDA Rule 1.2.1(d) (Salespersons – Dual Occupations) – Mutual Fund Dealers Association of Canada (MFDA)
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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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Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Proposed Amendments to MFDA By-law No. 1, s. 25.4 (Other Instruments) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Proposed Amendments to MFDA Rule 1.1.6 (Introducing and Carrying Arrangement) – Mutual Fund Dealers Association of Canada (MFDA)
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Joint Notice and Request for Comment – Application for Amendment and Restatement of Its Recognition Orders and Application to Amend the Definition of "Public Director" in its By-law No. 1 – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to Policy 6 Distributions – Amendments to Section 11 of MFDA By-law No. 1 (Member Approval Process) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Housekeeping Amendments to MFDA Form 1 – Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA)
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Report and Housekeeping Amendments to Form 1 – Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments – Proposed Amendments to Section 19.9 of MFDA By-law No. 1 (Hearing Panels) and Response of the MFDA – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to Section 19.9 of MFDA By-law No. 1 – Hearing Panels – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to Policy 3 (Handling Client Complaints) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Notice of Commission Approval – MFDA Policy No. 6, Amendments to MFDA Rule 1.2.5 and Consequential Amendments – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
