Notice of Commission Deemed Approval – Housekeeping Amendments to Sample Auditor’s Reports in MFDA Form 1 – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Requirements Relating to the Disclosure of MFDA Membership – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Request for Comment – Proposed Continuing Education Requirements for MFDA Members and their Approved Persons – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Notice of Commission Deemed Approval – 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
IIROC Notice 13-0255 – Request for Comments – Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Amendments Respecting Disclosure Requirements for Research Reports – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Notice – Notice of Approval/Implementation – Disclosure Requirements for Research Reports – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Amendments Respecting Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Amendments Respecting Third Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Rules Notice 13-0174 – Request for Comment – Proposed Plain Language Rule Sections 2210 and 2211 – Suspension and Termination of a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Proposed Amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Amendments to MFDA By-Law No. 1 Sections 3.3 (Election and Term), 3.6.1 (Governance Committee) and 4.7 (Quorum) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Request for Comment – Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Amendment to MFDA By-Law No. 1 Section 24.A (Ombudservice) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Joint Notice and Request for Comment of Certain Recognizing Regulators of the MFDA – Application to Amend Recognition Orders – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Joint Notice and Request for Comment – MFDA Application for Amendment and Restatement of Its Recognition Orders and Application to Amend the Definition of "Public Director" in its By-law No. 1 – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Notice of Commission Order – Application to Amend the Recognition Order of the Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Notice of Approval – Amendment and Restatement of Recognition Order and Summary of Public Comments – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Application for Amendment and Restatement of Terms and Conditions or Order Recognizing Self-regulatory Organization – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Request for Comment – Application for Amendment and Restatement of Its Recognition Order and Application for Consent to Enter into a Co-Operative Agreement in Québec – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
