le 13 février 2009 Market Regulation Document Type IIROC rule review Request for Comments – Amendments to Complaint Handling Requirements – Client Complaint Handling Rule and Guidance Note and Amendments to Dealer Member Rules 19, 37 and 2500 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 février 2009 Market Regulation Document Type IIROC rule review Request for Comments – Amendments to Dealer Member Rules to permit partial offsets for offset strategies involving interest rate swaps and total performance swaps – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 janvier 2009 Market Regulation Document Type IIROC rule review Amendments to the Notes and Instructions to Schedule 5 of Form 1 of the Dealer Member Rules Relating to Approved Inter-Dealer Bond Brokers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 juillet 2008 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Schedule 9 of Form 1 Relating to the Calculation of a Securities Concentration Charge for Positions in Broad Based Index Securities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 juillet 2008 Market Regulation Document Type IIROC rule review Notice of Approval – Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 mai 2011 Market Regulation Document Type IIROC Memoranda of Understanding Notice of Ministerial Approval of Memorandum of Understanding between certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) concerning MFDA access to the National Registration Database (NRD) Marchés, OAR et agences de compensation
le 21 janvier 2011 Market Regulation Document Type IIROC Memoranda of Understanding Notice of Memorandum of Understanding between certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) concerning MFDA access to the National Registration Database (NRD) Marchés, OAR et agences de compensation
le 1 août 2008 Market Regulation Document Type IIROC Memoranda of Understanding Notice of Minister of Finance Approval – MOU Regarding Oversight of Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 30 mai 2008 Market Regulation Document Type IIROC Memoranda of Understanding Memorandum of Understanding Regarding Oversight of Investment Industry Regulatory Organization of Canada (IIROC) among Recognizing Regulators Marchés, OAR et agences de compensation
le 5 août 2020 Market Regulation Document Type IIROC oversight review Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 avril 2019 Market Regulation Document Type IIROC oversight review Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 novembre 2003 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Proposed Amendments to MFDA Rule 2.3.1 – Power of Attorney/Limited Trading Authorization – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 24 octobre 2003 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to MFDA Rule 2.12 – Transfers of Account – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 24 octobre 2003 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendment to MFDA Rule 2.8.3 - Rates of Return – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 10 octobre 2003 Market Regulation Document Type MFDA rule review 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) Marchés, OAR et agences de compensation
le 10 octobre 2003 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendment to MFDA Rule 3.4.2(b)(vi) – Early Warning – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 février 2005 Market Regulation Document Type MFDA rule review Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 février 2005 Market Regulation Document Type MFDA rule review Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 février 2005 Market Regulation Document Type MFDA rule review Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Exhibit B - Blacklined – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 février 2005 Market Regulation Document Type MFDA rule review Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Exhibit C – Blacklined – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
