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Directives Distribution of financial products and services

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Directives Distribution of financial products and services

Also in this section
  • Regulations and obligations , current section
    • Act respecting the regulation of the financial sector
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    • Derivatives
      • Derivatives Regulation
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      • 91-102 - Prohibition of Binary Options
      • 91-506 - Derivatives Determination
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      • 93-101 - Derivatives: Business Conduct
      • 93-102 - Derivatives: Registration
      • 94-101 - Mandatory Central Counterparty Clearing of Derivatives
      • 94-102 - Customer Clearing and Protection of Customer Collateral and Positions (I-14.01, r. 0.001)
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    • Securities
      • 1 - Procedures and related matters [11-101 à 14-101]
      • 2 - Certain Capital Market Participants [21-101 à 25-101]
      • 3 - Registration and Related Matters [31-101 à 35-101]
      • 4 - Distribution Requirements [41-101 à 46-201]
      • 5 - Ongoing Requirements for Issuers and Insiders [51-101 à 58-201]
      • 6 - Takeover Bids and Special Transactions [61-101 à 62-104]
      • 7 - Securities Transactions Outside the Jurisdiction [71-101 à 71-102]
      • 8 - Investment Funds [81-101 à 81-107]
      • 9 - Derivatives
      • Quebec Regulation and Policy Statement
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  • Regulations and obligations
    • Act respecting the regulation of the financial sector
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    • Distribution of financial products and services , current section
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  • Guidance intended for independent representatives and firms with only one representative – all sectors (pdf - 28 KB)This link will open in a new windowUpdated on 20 November 2012independent representatives and firms with only one representative – all sectors (May 2007)
     
  • Section 32 of the Act respecting the distribution of financial products and services (pdf - 581 KB)This link will open in a new windowUpdated on 20 November 2012Section 32 of the Act respecting the distribution of financial products and services (May 2003)
     
  • Directive concerning commission sharing, in reference to sections 100 and 101 of the Act respecting the distribution of financial products and services (pdf - 124 KB)This link will open in a new windowUpdated on 20 November 2012Sections 100 and 101 (February 5, 2001)
     
  • Directive concerning the obligations of disclosure of distributors pursuant to sections 431 to 433 of the Act respecting the distribution of financial products and services (pdf - 78 KB)This link will open in a new windowUpdated on 20 November 2012Directive, obligations of disclosure, distributors, sections 431 to 433, Act respecting the distribution of financial products and services, ldpsf (April 9, 2001)
     
  • Directive on section 33 of the Act respecting the distribution of financial products and services concerning the use of separate forms (pdf - 56 KB)This link will open in a new windowUpdated on 20 November 2012Section 33 (May 30, 2001)
     
  • Directive respecting the application of section 441 (pdf - 94 KB)This link will open in a new windowUpdated on 20 November 2012Section 141 - An Act respecting the distribution of financial products and services (February 2000)
     
  • Directive concerning the marketing of the registers of the Bureau (pdf - 110 KB)This link will open in a new windowUpdated on 20 November 2012marketing of the registers of the Bureau (May 2000)
     
  • Directive concerning contracting-out and network agreements (pdf - 50 KB)This link will open in a new windowUpdated on 20 November 2012contracting-out and network agreements (June/July 2000)
     
  • Limited powers of Attorney and Letters of Authorization used by group savings brokerage firms within the Scope of transactions concerning Mutual Fund Securities (pdf - 64 KB)This link will open in a new windowUpdated on 20 November 2012Limited Powers of Attorney
    (June/July 2000)
     
  • Directive concerning the complaints register (pdf - 58 KB)This link will open in a new windowUpdated on 21 November 2012complaints register (December 5, 2001)
     
  • Directive concerning employees in group insurance firms (pdf - 97 KB)This link will open in a new windowUpdated on 20 November 2012employees in group insurance (Feburary 2000)
     
  • Directive concerning the certification and the obligation to make a choice as to the way to carry on business (pdf - 94 KB)This link will open in a new windowUpdated on 21 November 2012Certification and obligation (February 2000)
     
  • Directive on the verification by third parties of the ways of carrying on business (pdf - 32 KB)This link will open in a new windowUpdated on 21 November 2012Verification by third parties (June/July 2000)
     
  • Implementation Directive of the Autorité des marchés financiers pertaining to the Definition and exclusive activities of claims adjusters (pdf - 58 KB)This link will open in a new windowUpdated on 21 November 2012Claims Adjusters (May 29, 2009)
     

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