le 25 juin 2015 Market Regulation Document Type MFDA rule review OSC Staff Notice of Commission Approval – Client Relationship Model – Phase 2 – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 20 avril 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice – Proposed Amendments to Universal Market Integrity Rules (UMIR) – 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 13 avril 2012 Market Regulation Document Type IIROC rule review IIROC Notice 12-0130 – Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC) 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 13 avril 2012 Market Regulation Document Type MFDA rule review OSC Staff Notice of Approval – Amendments to MFDA Rule 3.3.2 and Internal Control Policy Statement 4 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 2 mars 2012 Market Regulation Document Type MFDA rule review OSC Staff Notice of Commission Approval – Proposed Amendments to MFDA Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 4 novembre 2011 Market Regulation Document Type MFDA rule review 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 28 octobre 2011 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 2 février 2012 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Proposal for an Integrated Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 février 2012 Market Regulation Document Type IIROC rule review Notice: Plain language rule re-write project - Dealer Member Margin Rules, Rules 5100 through 5800 Marchés, OAR et agences de compensation
le 2 février 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Dealer Member Margin Rules, Rules 5100 through 5800 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 27 janvier 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 janvier 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice 12-0021 – Amendments to Schedule 12 of Form 1 and the Notes and Instructions to Schedule 12 of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 6 janvier 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice – Plain language rule re-write project – Interpretation and standards; Proposed Rules 1100 through 1400 – Investment Industry Regulatory Organization of Canada (IIROC) 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
