3 - Registration Requirements and Related Matters

Results 151 - 180 of 192
Instrument Number
Title
33-726
IOSCO Publishes Final Report on Compliance Function at Market Intermediaries (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-727
IOSCO Publishes Consultation Report on Market Intermediary Management of Conflicts that Arise in Securities Offerings (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-728
2007 Annual Report - Compliance Team
33-729
Marketing Practices of Investment Counsel/Portfolio Managers
33-730
Capital Calculations for Investment Counsel/Portfolio Managers
33-731
2008 Compliance Team Annual Report
33-732
2009 Compliance Team Annual Report
33-733
Report on Focused Reviews of Investment Funds, September 2008 - September 2009
33-734
2010 Compliance and Registrant Regulation Branch Annual Report
33-735
Sale of Exempt Securities to Non-Accredited Investors
33-736
2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-737
Enhanced Transparency of Communications with Registrants
33-738
2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-739
Termination of the Ontario Contingency Trust Fund
33-740
Report on the results of the 2012 targeted review of portfolio managers and exempt market dealers to assess compliance with the know-your-client, know-your-product and suitability obligations
33-741
Report on the Results of the Reviews of Capital Markets Participation Fees
33-742
2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-743
Guidance on sales practices, expense allocation and other relevant areas developed from the results of the targeted review of large investment fund managers
33-744
Availability of registration exemptions to foreign dealers in connection with trades in options and futures contracts under the Commodity Futures Act (Ontario)
33-745
2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-746
OSC Staff Notice 33-746: 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-747
OSC Staff Notice 33-747 - 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-748
OSC Staff Notice 33-748 - 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-749
OSC Staff Notice: 33-749 - 2018 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-750
OSC Staff Notice: 33-750 - 2019 Summary Report for Dealers, Advisers and Investment Fund Managers
33-751
2020 Summary Report for Dealers, Advisers and Investment Fund Managers
33-752
OSC Staff Notice: 33-752 - 2021 Summary Report for Dealers, Advisers and Investment Fund Managers
33-753
OSC Consultation on Tied Selling and other Anti-Competitive Practices in the Capital Markets
33-754
OSC Staff Notice 33-754 - Compliance and Registrant Regulation Branch Summary Report for Dealers, Advisers and Investment Fund Managers
33-755
OSC Staff Notice 33-755 - Compliance and Registrant Regulation Branch Summary Report for Dealers, Advisers and Investment Fund Managers
Results 151 - 180 of 192