OSC Staff Notice: 33-740 - Report on the results of the 2012 targeted review of portfolio managers and exempt market dealers to assess compliance with the know-your-client, know-your-product and suitability obligations
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-741 - Report on the Results of the Reviews of Capital Markets Participation Fees
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-742 - 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-743 - Guidance on sales practices, expense allocation and other relevant areas developed from the results of the targeted review of large investment fund managers
Documents d'Instruments, règles et politiques
OSC Staff Notice 33-744 - Availability of registration exemptions to foreign dealers in connection with trades in options and futures contracts under the Commodity Futures Act (Ontario)
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-745 - 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-746 - 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
OSC Staff Notice 33-747 - Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
OSC Staff Notice 33-748 - Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
Proposed NI 31-103 Registration Requirements, Proposed Companion Policy 31-103CP and Proposed Consequential Amendments: NI - 31-103 - Registration Requirements
Documents d'Instruments, règles et politiques
Notice: Summary of Comments received by June 30, 2007: NI 31-103 - Registration Requirements
Documents d'Instruments, règles et politiques
Summary of Comments received by June 30, 2007: NI 31-103 - Registration Requirements
Documents d'Instruments, règles et politiques
Proposed National Instrument: NI 31-103 - Registration Requirements
Documents d'Instruments, règles et politiques
Notice of National Instrument: NI 31-103 - Registration Requirements and Exemptions and CSA Notice of Rule, Companion Policy and Consequential Amendments to Related Instruments
Documents d'Instruments, règles et politiques
Notice: NI 31-103 - Registration Requirements and Exemptions
Documents d'Instruments, règles et politiques
National Instrument: NI 31-103 - Registration Requirements and Exemptions
Documents d'Instruments, règles et politiques
Companion Policy: NI 31-103 - Registration Requirements and Exemptions
Documents d'Instruments, règles et politiques
Summary of comments and responses on the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
Documents d'Instruments, règles et politiques
NI 31-103 - Registration Requirements and Exemptions - Summary of Changes
Documents d'Instruments, règles et politiques
Concordance of changes to the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
Documents d'Instruments, règles et politiques
