OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA)
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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”)
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OSC Staff Notice of Commission Approval – Amendments to MFDA Rule 2.2.1 and Policy No. 2 – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Approval – Housekeeping Amendments to Form 1 (Financial Questionnaire and Report (IFRS)) – Mutual Fund Dealers Association of Canada (MFDA)
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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)
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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)
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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)
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Request for Comment – IIROC Rules Notice 11-0344 – Requirement to Disclose Membership in IIROC as Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – IIROC Over-the-Counter Fair Pricing Rule and Confirmation Disclosure – Investment Industry Regulatory Organization of Canada (IIROC)
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Corporate Resolution – Re: Proposed Amendments to MFDA Rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA)
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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)
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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)
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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)
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Proposed Amendments to Form 1 - Definition of Market Value – Mutual Fund Dealers Association of Canada (MFDA)
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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)
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Notice of Commission Approval: IIROC UMIR Amendments Relating to Market Maker, Odd Lot and Other
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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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Proposed Amendments to MFDA Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Commission Approval – Proposed Amendments to Financial Questionnaire and Report (Form 1) to include the “Definition of Market Value” – Mutual Fund Dealers Association of Canada (MFDA)
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