le 26 mars 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments: Proposed Plain Language Rules – 3100 – Business Conduct and 3200 – Client Accounts – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 février 2013 Market Regulation Document Type MFDA rule review OSC Staff Notice of Commission Approval – Amendments to MFDA Rule 2.2.1 and Policy No. 2 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 31 janvier 2013 Market Regulation Document Type MFDA rule review OSC Staff Notice of Approval – Housekeeping Amendments to Form 1 (Financial Questionnaire and Report (IFRS)) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 4 janvier 2013 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA By-Law No. 1 (Definitions), Rule 2.5.5 (Branch Manager) and Policy No. 2 – Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 13 décembre 2012 Market Regulation Document Type MFDA rule review OSC Staff Notice – Notice of Revocation of the 2008 Commission Approval to Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-Law No. 1 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 octobre 2012 Market Regulation Document Type MFDA rule review OSC Staff Notice of Approval – Proposed Amendments to Section 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 13 avril 2012 Market Regulation Document Type MFDA rule review OSC Staff Notice of Approval – Amendments to MFDA Rule 3.3.2 and Internal Control Policy Statement 4 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 2 mars 2012 Market Regulation Document Type MFDA rule review OSC Staff Notice of Commission Approval – Proposed Amendments to MFDA Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 4 novembre 2011 Market Regulation Document Type MFDA rule review Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 28 octobre 2011 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 21 janvier 2011 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to MFDA Rule 3.1.1 (Capital – Minimum Levels) and Form 1 – Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 29 octobre 2010 Market Regulation Document Type MFDA rule review Summary of Public Comments Respecting Proposed Consequential Amendments Resulting from NI 31-103 Registration Requirements and Exemptions – MFDA Rules 1.2 (Individual Qualifications), 2.4.2 (Referral Arrangements), 2.5 (Minimum Standards of Supervision), 5.3 (Client Reporting), and 5.6 (Record Retention) and MFDA Policy No. 6 Information Reporting Requirements and Responses of the MFDA – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 8 janvier 2010 Market Regulation Document Type IIROC rule review Notice of Commission Approval – UMIR Amendments – Provisions Respecting Trading During Certain Securities Transactions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 décembre 2009 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Dealer Member Rules 19, 37 and 2500 Relating to Client Complaint Handling – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 décembre 2009 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Rule 19, 37 and 2500 Relating to Client Complaint Handling – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 janvier 2011 Market Regulation Document Type IIROC rule review Provisions Respecting the Implementation of the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 janvier 2011 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC UMIR Amendments Relating to Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 janvier 2011 Market Regulation Document Type IIROC rule review Response to Comments on Client Relationship Model Rules and Amendments to IIROC Dealer Member Rules 200 and 1300 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 janvier 2011 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – Republication – Dealer Member Rules – Proposals to Implement the Core Principles of the Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 3 décembre 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Notice of Withdrawal – Proposed Amendments to Continuing Jurisdiction Provisions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
