Guidance Note – IIROC Rules Notice 12-0108 – Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Approval – IIROC Rules Notice 12-0107 – Client Relationship Model – Implementation – Investment Industry Regulatory Organization of Canada (IIROC)
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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)
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Proposed Amendments to MFD A Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Resolution Certificate – Mutual Fund Dealers Association of Canada (MFDA)
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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)
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Notice of Commission Order – Application to Amend the Recognition Order of the Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Approval – Amendment and Restatement of Recognition Order and Summary of Public Comments – Mutual Fund Dealers Association of Canada (MFDA)
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Application for Amendment and Restatement of Terms and Conditions or Order Recognizing Self-regulatory Organization – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – Application for Amendment and Restatement of Its Recognition Order and Application for Consent to Enter into a Co-Operative Agreement in Québec – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Request for Comment – Application for Amendment and Restatement of Its Recognition Order and Application for Consent to Enter into a Co-Operative Agreement in Québec – Mutual Fund Dealers Association of Canada (MFDA)
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Recognition Order
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Overview of the Public Comments on Application for Recognition and the MFDA Response – Mutual Fund Dealers Association of Canada (MFDA)
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Application and Request for Comments – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA By-law No. 1, Section 1 (Definitions) and Section 22 (Investigatory Powers) – Mutual Fund Dealers Association of Canada (MFDA)
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Extension of Request for Comment – Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – Proposed Amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements – Mutual Fund Dealers Association of Canada (MFDA)
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Text of Policies under the Universal Market Integrity Rules
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Notice of Minister of Finance Approval Memorandum of Understanding regarding the oversight of Market Regulation Services Inc.
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MOU between OSC, BCSC, ASC, CVMQ and MSC
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