le 25 décembre 2009 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to MFDA Policy 3 – Complaint Handling, Supervisory Investigations and Internal Discipline – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 18 décembre 2009 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to MFDA Policy 3 – Relating to Client Complaint Handling – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 28 août 2009 Market Regulation Document Type MFDA rule review 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) Marchés, OAR et agences de compensation
le 23 avril 2010 Market Regulation Document Type IIROC rule review Proposed Amendments – Request for Comments – Provisions Respecting Market Maker, Odd Lot and Other Marketplace Trading Obligations – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 9 avril 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice 10-0097 – Request for Comment – Dealer Member Rules – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 mars 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments: Proposed Plain Language Rules – 3100 – Business Conduct and 3200 – Client Accounts – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 17 avril 2009 Market Regulation Document Type IIROC rule review Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 17 avril 2009 Market Regulation Document Type IIROC rule review Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 février 2009 Market Regulation Document Type IIROC rule review Request for Comments – Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 février 2009 Market Regulation Document Type IIROC rule review Response to Comments on Client Complaint Handling Rule and Guidance Note and Amendments to IIROC Dealer Member Rules 19, 37 and 2500 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 février 2009 Market Regulation Document Type IIROC rule review Request for Comments – Amendments to Complaint Handling Requirements – Client Complaint Handling Rule and Guidance Note and Amendments to Dealer Member Rules 19, 37 and 2500 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 février 2009 Market Regulation Document Type IIROC rule review Request for Comments – Amendments to Dealer Member Rules to permit partial offsets for offset strategies involving interest rate swaps and total performance swaps – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 janvier 2009 Market Regulation Document Type IIROC rule review Amendments to the Notes and Instructions to Schedule 5 of Form 1 of the Dealer Member Rules Relating to Approved Inter-Dealer Bond Brokers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 juillet 2008 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Schedule 9 of Form 1 Relating to the Calculation of a Securities Concentration Charge for Positions in Broad Based Index Securities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 juillet 2008 Market Regulation Document Type IIROC rule review Notice of Approval – Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 mai 2011 Market Regulation Document Type IIROC Memoranda of Understanding Notice of Ministerial Approval of Memorandum of Understanding between certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) concerning MFDA access to the National Registration Database (NRD) Marchés, OAR et agences de compensation
le 21 janvier 2011 Market Regulation Document Type IIROC Memoranda of Understanding Notice of Memorandum of Understanding between certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) concerning MFDA access to the National Registration Database (NRD) Marchés, OAR et agences de compensation
le 1 août 2008 Market Regulation Document Type IIROC Memoranda of Understanding Notice of Minister of Finance Approval – MOU Regarding Oversight of Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 30 mai 2008 Market Regulation Document Type IIROC Memoranda of Understanding Memorandum of Understanding Regarding Oversight of Investment Industry Regulatory Organization of Canada (IIROC) among Recognizing Regulators Marchés, OAR et agences de compensation
le 5 août 2020 Market Regulation Document Type IIROC oversight review Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
