Notice and Request for Comment – Application to vary the Recognition and Designation of the CDS as a Clearing Agency – Canadian Depository for Securities Limited
Marchés, OAR et agences de compensation
Request for Comment – Minor Contravention Program and Early Resolution Offers – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Criteria for the Recognition of Clearing Agencies under section 21.2 of the Securities Act – Canadian Depository for Securities Limited
Marchés, OAR et agences de compensation
Recognition and Designation Order – ss. 21.2(1) and s. 144 of the Act and Part VI of the OBCA – Canadian Depository for Securities Limited
Marchés, OAR et agences de compensation
IIROC Notice 18-0154 – Amendments Respecting the Reporting of Certain Trades to Acceptable Foreign Trade Reporting Facilities – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Request for Comment – Proposed Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Notice 19-0157 – Proposed Amendments Respecting Non-Clients – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
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
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
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
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
Proposed Amendments to MFDA By-Law No.1 – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
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
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
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
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
Proposed Amendments to Form 1 - Definition of Market Value – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
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
25-401 -
IRP Title
Potential Regulation of Proxy Advisory Firms
Instruments, règles et politiques
25-502 -
IRP Title
Temporary exemption from certain reporting requirements for Regulated Entities carrying on business in Ontario
Instruments, règles et politiques
