le 5 septembre 2019 Market Regulation Document Type IIROC rule review IIROC Notice 19-0157 – Proposed Amendments Respecting Non-Clients – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 10 octobre 2013 Market Regulation Document Type MFDA rule review OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations – Automatic Payment Plans) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 10 octobre 2013 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations - Automatic Payment Plans) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 12 septembre 2013 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Proposed Amendments to Section 1 (Definitions) of MFDA By-law No. 1, MFDA Rule 2.5.5 (Branch Manager) and MFDA Policy No. 2 Regarding Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 juillet 2013 Market Regulation Document Type MFDA rule review OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA By-Law No. 1 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 juillet 2013 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA By-Law No.1 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 30 septembre 2011 Market Regulation Document Type MFDA rule review 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) Marchés, OAR et agences de compensation
le 8 juillet 2011 Market Regulation Document Type MFDA rule review Proposed Amendments – MFDA Rule 2.2.1 (“Know-Your-Client”) and Policy No. 2 Minimum Standards For Account Supervision – 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
le 26 août 2011 Market Regulation Document Type IIROC rule review Notice of Commission Approval: IIROC UMIR Amendments Relating to Market Maker, Odd Lot and Other Marchés, OAR et agences de compensation
le 29 juillet 2011 Market Regulation Document Type IIROC rule review Request for Comments – IIROC Rules Notice – Provisions Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 15 juillet 2011 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to IIROC By-Law No. 1 Regarding Director Election and Term – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 3 juin 2011 Market Regulation Document Type IIROC rule review Agreement among certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) with respect to the administration and application of surplus funds generated by the operation of the National Registration Database (NRD) – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 27 mai 2011 Market Regulation Document Type IIROC rule review Request for Comments – IIROC Rules Notice 11-0164 – Dealer Member Rules – Plain language rule re-write project – Debt Markets and Inter-Dealer Bond Brokers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 22 avril 2011 Market Regulation Document Type IIROC rule review Notice of Agreement among certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) with respect to the administration and application of surplus funds generated by the operation of the National Registration Database (NRD) – Investment Industry Regulatory Organization of Canada (IIROC) 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 3 juillet 2014 Market Regulation Document Type MFDA rule review OSC Staff Notice of Approval – Amendments to MFDA By-law No.1 and Articles of Continuance – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
