Proposed New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Proposed Amendments to MFDA Rule 5.1 (Requirement for Records) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Request for Comment – IIROC Rules Notice – Proposed Amendments Respecting Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Withdrawal of Proposed Limitation on IIROC Enforcement Proceedings – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Corporate Resolution – Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Request for Comment – IIROC Rules Notice 12-0200 – Universal Market Integrity Rules (UMIR) – Provisions Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Request for Comments – Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice and Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Clean Up Amendment – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Summary of Public Comments – Proposed Amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Accounts) and Responses – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Rules Notice – Request for Comments – Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Rules Notice – Request for Comments – Proposed Rule on Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Rules Notice 11-0050 – Request for Comments – Proposed Amendment of Sections 5.4 and 5.7 of IIROC By-law No. 1 – Director Election and Term – Filling Vacancies – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Provisions Respecting the Implementation of the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
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
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
Notice of Commission Approval – IIROC Over-the-Counter Fair Pricing Rule and Confirmation Disclosure – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Corporate Resolution – Re: Proposed Amendments to MFDA Rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
OSC Staff Notice 81-730 - Consideration of Alternative Approaches to Address Concerns Related to Deferred Sales Charges
Documents d'Instruments, règles et politiques
Amendments to OSC Rule 81-801 Implementing National Instrument 81-106 Investment Fund Continuous Disclosure
Documents d'Instruments, règles et politiques
