Proposed Amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Amendments to Rules 100.2(j) and 100.2(k) Relating to Swap Arrangements Involving Regulated Entities – Investment Industry Regulatory Organization of Canada (IIROC)
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Amendments to MFDA Rule 2.4.1 – Payment of Commissions to Unregistered Corporation – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA Rule 2.4.1 – Payment of Commissions to Unregistered Corporation – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments – Proposed Amendments to Section 35 (No Actions Against the Corporation) of MFDA By-law No. 1 and Responses of the MFDA – Mutual Fund Dealers Association of Canada (MFDA)
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Amendments to Section 35 of MFDA By-law No. 1 – MFDA IPC – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to Section 35 of MFDA By-law No. 1 – MFDA IPC – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Conforming Amendments to MFDA Rules Resulting from National Instrument 31-103 Registration Requirements And Exemptions – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA Policy 3 – Complaint Handling, Supervisory Investigations and Internal Discipline – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA Policy 3 – Relating to Client Complaint Handling – Mutual Fund Dealers Association of Canada (MFDA)
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Second Publication for Comment of 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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Second Publication for Comment of Proposed Amendments to Implement Core Principles of the Client Relationship Model – Correction – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments Respecting 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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Response to Comments on Client Relationship Model Rules and Amendments to IIROC Dealer Member Rules 200 and 1300 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments to MFDA Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014 – Mutual Fund Dealers Association of Canada (MFDA)
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Amended and Restated Recognition Order of RS
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Notice of Commission Approval of Recognition of Market Regulation Services Inc. and Comments received and responses
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Notice and Request by BCSC and ASC for further comment on Fee Model
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