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Displaying results 381 to 390 of 8030.
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CSA Consultation Paper 81-408 : Consultation on the Option of Discontinuing Embedded Commissions
Consultation Paper Backgrounder Consultation session – May 12, 2017 (Available in French only) Report on principal findings of Autorité des marchés financiers focus groups with individual investors Advocis (Greg Pollock and Wade A. Baldwin) AGF Investments Inc. (Blake C. Goldring) Alistair Harrigan […]
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Avis – Ligne directrice sur les normes relatives à la suffisance du capital - English version will be available soon
Sommaire des principales modifications apportées à la ligne directrice sur les normes relatives à la suffisance du capital Ligne directrice sur les normes relatives à la suffisance du capital – Version avec suivi de modifications Ligne directrice sur les normes relatives à la suffisance du capital – […]
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Regulation to amend Regulation 91-506 respecting Derivatives Determination and Regulation to amend Regulation 91-507 respecting Trade Repositories and Derivatives Data Reporting
Regulatory notice Regulation to amend Regulation 91-506 Blacklined consolidated version Policy Statement to Regulation 91-506 (Blacklined version) Regulation to amend Regulation 91-507 Blacklined consolidated version Policy Statement to Regulation 91-507 (Blacklined version) Canadian Commercial Ener […]
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Canadian securities regulators provide an update regarding the consultation on proxy adviser firms
The Canadian Securities Administrators (CSA) today published CSA Notice 25-301 Update on CSA Consultation Paper 25-401 Potential Regulation of Proxy Advisory Firms, which provides an update to market participants on the status of the consultation. Montreal - The Canadian Securities Administrators (C […]
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CSA publishes findings and recommendations for the segregation and portability of customer positions and related collateral in over-the-counter derivatives clearing
Toronto -The Canadian Securities Administrators (CSA) today published for comment Consultation Paper 91-404 - Derivatives: Segregation and Portability in OTC Derivatives Clearing. The Consultation Paper sets out the CSA Derivatives Committee's proposals related to the segregation and portability of […]
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CSA Staff Notice and Request for Comment 25-304: Application for Recognition of New Self-Regulatory Organization
CSA Staff Notice and Request for Comment 25-304 Appendix A - Application for recognition of the New SRO Schedule 1 – Draft By-Law Number 1 of the New SRO Schedule 2 – Draft Interim Rules of the New SRO Introduction Investment Dealer and Partially Consolidated Rules Mutual Fund Dealer Rules Mutual Fu […]
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Ligne directrice sur les normes relatives à la suffisance du capital
Notice of consultation Ligne directrice sur les normes relatives à la suffisance du capital - Financial services cooperatives belonging to a network, credit unions not members of a federation, trust companies, savings companies and other authorized deposit institutions (Available in french only) Lig […]
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Special method of service - Prohibition orders issued against GetEasy, iGetMania, International Finance Corporation and TachoEasy Middle East
On March 20, 2015, the Bureau de décision et de révision (the "Bureau") issued orders against GetEasy, iGetMania, International Finance Corporation and TachoEasy Middle East at the request of the Autorité des marchés financiers (the "AMF"). Montréal - On March 20, 2015, the Bureau de décision et de […]
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Canadian securities regulators seek further comment on proposed rule for venture issuers
Calgary - The Canadian Securities Administrators (CSA) today published for a second comment period proposed National Instrument 51-103 Ongoing Governance and Disclosure Requirements for Venture Issuers (NI 51-103), which was originally published for comment July 2011. Calgary - The Canadian Securiti […]
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CSA Position Paper 25-404: New Self-Regulatory Organization Framework
Consultation document Advocis Aligned Capital Partners Inc. Archer gestion de patrimoine Canadian Advocacy Council of CFA Societies Canada CI Assante Wealth Management Conseil des fonds d'investissement du Québec Ernest Ilson Fair Canada Federation of Mutual Fund Dealers Goldstein Financial Investme […]