le 21 août 2020 Decision Franklin Templeton Investments Corp. and Templeton Growth Fund Ordonnances et décisions
le 12 août 2020 Order Horizons ETFs Management (Canada) Inc. and Horizons Global Risk Parity ETF Ordonnances et décisions
le 1 décembre 2016 Market Regulation Document Type IIROC rule review IIROC Notice 16-0277 – New Debt Information Processor Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 10 novembre 2016 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments Respecting Audit Requirement to Send Second Positive Confirmation Requests – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 10 novembre 2016 Market Regulation Document Type IIROC rule review IIROC Notice 16-0262 – Amendments Respecting Audit Requirement to Send Second Positive Confirmation Requests – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 octobre 2016 Market Regulation Document Type IIROC rule review Request for Comment – Re-publication of Proposed Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 5 novembre 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Approval – Amendments Relating to Rule 100.10K – Optional Use of TIMS or SPAN – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 5 novembre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0249 – Amendments to Dealer Member Rule 100.10(k) Optional use of TIMS or SPAN – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 octobre 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Commission Approval – Proposed Amendments to Dealer Member Rule 1400 relating to the Disclosure to Clients of Dealer Members’ Financial Position – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 octobre 2015 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Debt Market Regulation Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 octobre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0243 – Approval of Debt Market Regulation Fee – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 janvier 2007 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - Housekeeping Amendments to IDA By-law 18.14(d)(iii) - Registered Representatives and Investment Representatives Marchés, OAR et agences de compensation