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FIERA CAPITAL FUNDS INC. ( FCFI SUMMARY OF COMPLAINT

For example, U.K. regulators combine elements of rate of return regulation and price cap regulation to create their form of RPI-X regulation. Some regulators use earnings sharing , 10 which is an approach that allows the operator to keep some portion of its earnings above its cost of capital and bear some portion of the difference if earnings are below the cost of capital .



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MFDA Application for Recognition Prince Edward Island

An independent survey discussing the real impact of global changes in Know Your Customer (KYC) regulation on Sound Principle. Complex Reality.

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Bulletin #0578-P “Opening Your Investment Account

View PDF of Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) View PDF of Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision



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Resolving your concerns Canadian Western Financial

Association of anada (“MFDA”) intending to clarify that the suitability obligations in MFDA Rule 2.2.1 (“Know-Your-lient”) and MFDA Policy No. 2 ( Minimum Standards for Account Supervision ) apply equally

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Forms and Instructions Required To Apply For KYC Approval
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MFDA Application for Recognition Prince Edward Island

Title: Client Complaint Information Form Subject: Clients of a mutual fund dealer who are not satisfied with a financial product or service have a right to make a …

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November 30 2015 Marsha Gerhart Vice-President Member

Agreement in writing, in a form prescribed by the Corporation, in favour of the Corporation, the terms of which provide that: o the Member and Approved Person shall comply with applicable MFDA By-laws and

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OSC Staff Notice of Commission Approval MFDA Amendments

Summary of Funds Direct Canada Inc. Client Complaint Handling Procedures Funds Direct Canada Inc. has procedures in place to handle any written or verbal complaints received from clients in a fair and prompt manner. This is a summary of those procedures, which we provide to new clients, and clients who have filed a complaint. Client Complaint Information Form We also provide new clients and

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BoK Statement fpsc.ca

30/05/2018 · In order to apply for approval as an approved jurisdiction for the Qualified Intermediary Program, please submit the following information: Responses to the 18 questions required by Revenue Procedure 2000-12.

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OSC Staff Notice of Commission Approval MFDA Amendments

MUTUAL FUND DEALERS ASSOCIATION OF CANADA PROPOSED AMENDMENTS TO MFDA BY-LAW NO. 1 I. OVERVIEW A. Current Framework On June 19, 1998, the MFDA was incorporated under Part II of the Canada Corporations

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BoK Statement FPSC

This document is an unofficial consolidation of all amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103), effective as of June 12, 2018.

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MUTUAL FUND DEALERS ASSOCIATION OF CANADA Client

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Forms and Instructions Required To Apply For KYC Approval

Introduction. This Policy establishes minimum industry standards for account supervision. These standards represent the minimum requirements necessary to ensure that a Member has procedures in place to properly supervise account activity.

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Resolving your concerns Canadian Western Financial

Member Regulation Notice MR-0079 - APPROVED PERSON TRANSFERS Subject MFDA staff has observed a number of issues that have arisen where Approved Persons have resigned or been terminated by a Member and have transferred to another Member firm.

Http www mfda ca regulation forms kyc_example pdf - MEMBER REGULATION notice

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