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 2 janvier 2009 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Housekeeping Amendments to the Notes and Instructions to Schedule 5 of IIROC’s 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 28 novembre 2008 Market Regulation Document Type IIROC rule review IIROC Rule 100.4E – Offsets Between Strip Coupon Positions and / or Residual Debt Positions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 novembre 2008 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC Amendments to Rule 100.4E – Offsets Between Strip Coupon Positions and/or Residual Debt Positions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 juin 2010 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rule 3.3.2 (Segregation of Client Property – Cash) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 30 avril 2010 Market Regulation Document Type MFDA rule review Notice of Rescission of Commission Approval – Amendments to MFDA Rule 1.1.7 – Business Names, Styles, Etc. – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 21 novembre 2008 Market Regulation Document Type IIROC rule review Amendments to IIROC Rule 20 Corporation Hearing Processes to Eliminate IIROC’s Appeal Panels and Response to Public Comment – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 21 novembre 2008 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to IIROC Rule 20 Corporation Hearing Processes – To Eliminate IIROC’s Appeal Panels – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 novembre 2008 Market Regulation Document Type IIROC rule review Notice of Publication of IIROC Proposed Amendments and Concept Proposal – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 16 juillet 2010 Market Regulation Document Type MFDA rule review MFDA Rule 2.2 (Client Accounts) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 16 juillet 2010 Market Regulation Document Type MFDA rule review MFDA Policy No. 2 – Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 16 juillet 2010 Market Regulation Document Type MFDA rule review MFDA Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 16 juillet 2010 Market Regulation Document Type MFDA rule review Summary of Public Comments – Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and Policy No. 2 Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 16 juillet 2010 Market Regulation Document Type MFDA rule review Summary of Public Comments – Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 31 juillet 2009 Market Regulation Document Type IIROC rule review IIROC Form No. 2 and Dealer Member Rules 1300.2, 2500, 2700 and 3200 – Know Your Client Information – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 31 juillet 2009 Market Regulation Document Type IIROC rule review IIROC Dealer Member Rules 100.11 and 1900.1 – Over-the-Counter Options and Definition of Option – Withdrawal of Proposed Rule Amendments – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 16 juillet 2010 Market Regulation Document Type MFDA rule review Summary of Public Comments – Proposed Amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Accounts) and Responses – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 26 juin 2009 Market Regulation Document Type IIROC rule review Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
