le 18 juin 2015 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 18 juin 2015 Market Regulation Document Type MFDA rule review Proposed amendments to MFDA Rule 1.2 (Individual Qualifications) – Resolution Certificate – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 19 mars 2015 Market Regulation Document Type MFDA rule review 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
le 30 mars 2012 Market Regulation Document Type IIROC rule review 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
le 23 mars 2012 Market Regulation Document Type IIROC rule review 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
le 19 mars 2015 Market Regulation Document Type MFDA rule review MFDA Notice – Housekeeping Amendments to MFDA rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 23 mars 2012 Market Regulation Document Type IIROC rule review Notice and Request for Comment – Proposed Amendments to Dealer Member Rules and Universal Market Integrity Rules (UMIR) – Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 avril 2012 Market Regulation Document Type IIROC rule review OSC Staff Notice of Approval – Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 juin 2015 Market Regulation Document Type MFDA rule review Corporate Resolution – RE: Proposed Housekeeping amendments re: CRM2 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 13 avril 2012 Market Regulation Document Type IIROC rule review Guidance Note – IIROC Rules Notice 12-0109 – Know your Client and Suitability – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 avril 2012 Market Regulation Document Type IIROC rule review Guidance Note – IIROC Rules Notice 12-0108 – Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 avril 2012 Market Regulation Document Type IIROC rule review Notice of Approval – IIROC Rules Notice 12-0107 – Client Relationship Model – Implementation – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 juin 2015 Market Regulation Document Type MFDA rule review OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 18 juin 2015 Market Regulation Document Type MFDA rule review Proposed Amendments to MFD A Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 18 juin 2015 Market Regulation Document Type MFDA rule review Proposed amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Resolution Certificate – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 13 avril 2012 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to IIROC’s proposals to implement the core principles of the Client Relationship Model and related guidance notes – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 15 juillet 2013 Document Ross Gallinger (Prospectors & Developers Association of Canada): Proposed Amendments: MI 62-104 Take-Over Bids and Issuer Bids, NP 62-203 Take-Over Bids and Issuer Bids, and NI 62-103 Early Warning System and Related Take-Over Bid and Insider Reporting Is Documents ouverts dans un nouvel onglet Comment letters
le 15 juillet 2013 Document Lori Stein (Periscope Capital Inc.): Proposed Amendments: MI 62-104 Take-Over Bids and Issuer Bids, NP 62-203 Take-Over Bids and Issuer Bids, and NI 62-103 Early Warning System and Related Take-Over Bid and Insider Reporting Issues Documents ouverts dans un nouvel onglet Comment letters
le 12 juillet 2013 Document Daniel E. Chornous (RBC Global Asset Management): Proposed Amendments: MI 62-104 Take-Over Bids and Issuer Bids, NP 62-203 Take-Over Bids and Issuer Bids, and NI 62-103 Early Warning System and Related Take-Over Bid and Insider Reporting Issues Documents ouverts dans un nouvel onglet Comment letters
le 12 juillet 2013 Document Katie Walmsley & Scott Mahaffy (Portfolio Management Association of Canada): Proposed Amendments: MI 62-104 Take-Over Bids and Issuer Bids, NP 62-203 Take-Over Bids and Issuer Bids, and NI 62-103 Early Warning System and Related Take-Over Bid and Insider Documents ouverts dans un nouvel onglet Comment letters
