le 12 juin 2014 Market Regulation Document Type MFDA rule review 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) Marchés, OAR et agences de compensation
le 12 juin 2014 Market Regulation Document Type MFDA rule review 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
le 13 avril 2012 Market Regulation Document Type IIROC rule review Request for Comments – Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 30 mars 2012 Market Regulation Document Type IIROC rule review Notice and 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
le 18 juin 2015 Market Regulation Document Type MFDA rule review OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 18 juin 2015 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 18 juillet 2013 Market Regulation Document Type MFDA rule review 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”) Marchés, OAR et agences de compensation
le 7 février 2013 Market Regulation Document Type MFDA rule review OSC Staff Notice of Commission Approval – Amendments to MFDA Rule 2.2.1 and Policy No. 2 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 31 janvier 2013 Market Regulation Document Type MFDA rule review OSC Staff Notice of Approval – Housekeeping Amendments to Form 1 (Financial Questionnaire and Report (IFRS)) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 4 janvier 2013 Market Regulation Document Type MFDA rule review 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) Marchés, OAR et agences de compensation
le 13 décembre 2012 Market Regulation Document Type MFDA rule review 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) Marchés, OAR et agences de compensation
le 25 octobre 2012 Market Regulation Document Type MFDA rule review 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
le 2 décembre 2011 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice 11-0344 – Requirement to Disclose Membership in IIROC as Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 août 2011 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC Over-the-Counter Fair Pricing Rule and Confirmation Disclosure – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 19 mars 2015 Market Regulation Document Type MFDA rule review Corporate Resolution – Re: Proposed Amendments to MFDA Rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 18 décembre 2014 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to MFDA Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2015 and July 15, 2016 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 8 juillet 2011 Market Regulation Document Type MFDA rule review Notice of Rescission of Commission Approval – Amendments to MFDA Rule 1.2.1(d)(vii)(A) – Dual Occupations – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 mars 2011 Market Regulation Document Type MFDA rule review OSC Staff Notice of Commission Approval – MFDA Housekeeping Amendments to Form 1 - Financial Questionnaire and Report (IFRS) and Form 1 - Financial Questionnaire and Report (CGAAP) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 18 mars 2011 Market Regulation Document Type MFDA rule review Proposed Amendments to Form 1 - Definition of Market Value – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 18 février 2011 Market Regulation Document Type MFDA rule review Notice of Commission Approval – MFDA Rule 2.4.4 and Amendments to MFDA Rule 5.1 Regarding Transaction Fees or Charges and Requirement for Records – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
