OSC in the Community (Webinar)
Évènements
OSC in the Community (Webinar)
Évènements
Notice of Commission Approval – IIROC Dealer Member Rule 43 Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 Registered Representatives and Investment Representatives – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Joint Notice and Request for Comment – MFDA Application for Amendment and Restatement of Its Recognition Orders and Application to Amend the Definition of "Public Director" in its By-law No. 1 – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Request for Comments - Definition of "Applicable Market Display"
Marchés, OAR et agences de compensation
Notice of Withdrawal – Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Notice – Withdrawal of Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Joint Notice and Request for Comment of Certain Recognizing Regulators of the MFDA – Application to Amend Recognition Orders – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
OSC Staff Notice of Request for Comment – Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Material Amendments to CDS Procedures – Locked-in Trade Reconciliation Service and the NSCC Trade File Pass-through Service – CDS Clearing and Depository Services Inc.
Marchés, OAR et agences de compensation
Notice of Commission Approval – Material Amendments to CDS Procedures – Amendments to Buy-in Messaging – CDS Clearing and Depository Services Inc.
Marchés, OAR et agences de compensation
Notice of Commission Approval – Material Amendments to CDS Procedures – Modification of Non-Financial Details on Blind Repo Trades – CDS Clearing and Depository Services Inc.
Marchés, OAR et agences de compensation
RS Notice - Request for Comments - Proposed UMIR Regulation Fee Model
Marchés, OAR et agences de compensation
Notice and Request for Comments – Material Amendments to CDS Rules – Termination of FINet – CDS Clearing and Depository Services Inc.
Marchés, OAR et agences de compensation
Corrections to RS Notice and Request for Comments - Proposed Allocation of Costs - First Group
Marchés, OAR et agences de compensation
RS Notice - Request for Comments - Proposed Allocation of Costs - First Group
Marchés, OAR et agences de compensation
RS Market Integrity Notice - Notice of Withdrawal - Provisions to Accommodate the Introduction of Multiple Marketplaces
Marchés, OAR et agences de compensation
RS Market Integrity Notice - Notice of Withdrawal - Definition of "Applicable Market Display"
Marchés, OAR et agences de compensation
RS Market Integrity Notice - Request for Comments - Provisions Respecting Competitive Marketplaces
Marchés, OAR et agences de compensation
RS Market Integrity Notice - Notice of Amendment Approval - Provisions Respecting Client Priority
Marchés, OAR et agences de compensation
