OSC Staff Notice of Commission Approval – Housekeeping Amendments to Rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Clean Up Amendment – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Request for Comments – Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice of Commission Approval – IIROC Proposal for an Integrated Fee Model – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Proposal for an Integrated Fee Model – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice: Plain language rule re-write project - Dealer Member Margin Rules, Rules 5100 through 5800
Marchés, OAR et agences de compensation
Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Dealer Member Margin Rules, Rules 5100 through 5800 – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Request for Comment – IIROC Rules Notice – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Request for Comment – IIROC Rules Notice 12-0021 – Amendments to Schedule 12 of Form 1 and the Notes and Instructions to Schedule 12 of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Request for Comment – IIROC Rules Notice – Plain language rule re-write project – Interpretation and standards; Proposed Rules 1100 through 1400 – 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)
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OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA By-Law No. 1 – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to MFDA By-Law No.1 – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Approval – Amendments to MFDA By-law No.1 and Articles of Continuance – Mutual Fund Dealers Association of Canada (MFDA)
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By-Law No. 1 (as amended by By-laws Nos. 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 16, 17 and 18) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Request for Comments – Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
