Notice of Effective Date – Technical Amendments to CDS Procedures – CDS Clearing and Depository Services Inc.
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Notice of Effective Date – Technical Amendments to CDS Procedures – Housekeeping Items – CDS Clearing and Depository Services Inc.
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Notice of Effective Date – Technical Amendments to CDS Procedures – CDS Network Managed Services Implementation – CDS Clearing and Depository Services Inc.
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Notice of Commission Approval – Amendments to MFDA Policy No. 3 – Handling Client Complaints – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Material Amendments to CDS Procedures – Automated Confirmation Transaction (ACT) Service – CDS Clearing and Depository Services Inc.
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Notice of Commission Approval – Material Amendments to CDS Procedures – New York Link (NYL) Service – CDS Clearing and Depository Services Inc.
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Notice of Ministerial Approval of Memorandum of Understanding between Certain Provincial Securities Regulators Concerning the Mutual Fund Dealers Association of Canada (MFDA)
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Oversight Review Report of the Mutual Fund Dealers Association of Canada (MFDA)
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Oversight Review Report of the Mutual Fund Dealers Association of Canada (MFDA)
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Oversight Review Report of the Mutual Fund Dealers Association of Canada (MFDA)
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IIROC Notice 20-0238 – Client Focused Reforms – Proposed Rule Amendments for Public Comment – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0239 – Client Focused Reforms – Housekeeping Rule Changes – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0203 – Proposed Amendments – IIROC Exemptions for Bulk Account Movements – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 21-0009 – Withdrawal of the Proposed Amendments and Proposed Guidance Respecting Non-Clients – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – Proposed Amendment to the Risk Component of the Dealer Member Fee Model – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0267 – Removal of the risk component of the annual fees paid by Dealer Members – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0262 – Early adoption of certain IIROC Rules into the Dealer Member Rules – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Notice – Changes to Harmonize and Streamline The Oversight of the MFDA – Mutual Fund Dealers Association of Canada (MFDA)
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RS Market Integrity Notice - Request for Comments - Provisions Respecting Trading During Certain Securities Transactions
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Request for Comment - Proposed Amendments to the Oversight of MFDA IPC
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