OSC Staff Notice of Commission Approval – Material Amendments to CDS Rules – CDCC Interface – Phase 2 – Partial Settlement – CDS Clearing and Depository Services Inc.
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OSC Staff Notice of Commission Approval – Material Amendments to CDS Procedures – CDCC Interface – Caps and Lines of Credit Updates – CDS Clearing and Depository Services Inc.
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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 Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 1.2.1(d) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA Rule 1.2.1(d) Regarding Financial Planning Services as a Dual Occupation – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments Respecting Proposed Amendments to MFDA Policy No. 3 Handling Client Complaints and Responses of the MFDA – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to MFDA Policy No. 3 Handling Client Complaints – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Housekeeping Amendments to MFDA Rule 2.3 – Power of Attorney/Limited Trading Authorization – Mutual Fund Dealers Association of Canada (MFDA)
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Housekeeping Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authorization) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA Rule 1.1.6 – Introducing and Carrying Arrangement – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to MFDA Rule 2.6 Borrowing for Securities Purchases – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA Rule 2.8.3 - Rates of Return – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA Rule 1.1.6(a)(vi) Regarding Introducing and Carrying Arrangement – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA Rule 3.4.2(b)(vi) – Early Warning – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA Rule 1.1.7(d) – Business Names, Styles, Etc. – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA Rule 1.1.3 – Service Arrangements – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA Rule 1.2.2(a) – Branch Managers – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA Rule 2.2.3 – New Account Approval – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA Rule 3.2.1 – Client Lending and Margin – Mutual Fund Dealers Association of Canada (MFDA)
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