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Sort by A -> ZZ -> AOld -> NewNew -> Old Filter Consultations - Any - Open Closed Filter by Consultation Name Sort by A -> ZZ -> AOld -> NewNew -> Old Results: Joint CSA/IIROC Staff Notice 23 – 329 – Short Selling in Canada Date Opened December 8, 2022 Status Closed Date Closed March 8, 2023 Review of the IIROC Arbitration Program Date Opened December 6, 2022 Status Closed Date Closed March 6, 2023 Consultation Paper (Phase III) — Competency Profiles for Supervisors, Traders, Associate Portfolio Managers and Portfolio Managers Date Opened August 29, 2022 Status Closed Date Closed December 28, 2022 Proposed amendments to permit reduced margin for swap position partial offsets held in inventory Date Opened August 4, 2022 Status Closed Date Closed October 3, 2022 Proposed Amendments to the IIROC Rules and to Form 1 regarding the floating index margin rate methodology Date Opened April 28, 2022 Status Closed Date Closed June 27, 2022 Republication of proposed amendments to the IIROC Rules relating to the futures segregation and portability customer protection regime Date Opened April 21, 2022 Status Closed Date Closed May 24, 2022 Proposed Amendments Respecting the Codification of Certain UMIR Exemptions Date Opened April 14, 2022 Status Closed Date Closed July 13, 2022 Re-publication of Proposed Derivatives Rule Modernization, Stage 1 Date Opened April 14, 2022 Status Closed Date Closed June 13, 2022 Proposed Amendments respecting Reporting, Internal Investigation and Client Complaint Requirements Date Opened January 13, 2022 Status Closed Date Closed April 14, 2022 Competency Profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers Date Opened August 31, 2021 Status Closed Date Closed December 29, 2021 First page « First Previous page ‹ Page 1 Page 2 Current page 3 Page 4 Page 5 Page 6 Next page › Last page Last »
Joint CSA/IIROC Staff Notice 23 – 329 – Short Selling in Canada Date Opened December 8, 2022 Status Closed Date Closed March 8, 2023
Review of the IIROC Arbitration Program Date Opened December 6, 2022 Status Closed Date Closed March 6, 2023
Consultation Paper (Phase III) — Competency Profiles for Supervisors, Traders, Associate Portfolio Managers and Portfolio Managers Date Opened August 29, 2022 Status Closed Date Closed December 28, 2022
Proposed amendments to permit reduced margin for swap position partial offsets held in inventory Date Opened August 4, 2022 Status Closed Date Closed October 3, 2022
Proposed Amendments to the IIROC Rules and to Form 1 regarding the floating index margin rate methodology Date Opened April 28, 2022 Status Closed Date Closed June 27, 2022
Republication of proposed amendments to the IIROC Rules relating to the futures segregation and portability customer protection regime Date Opened April 21, 2022 Status Closed Date Closed May 24, 2022
Proposed Amendments Respecting the Codification of Certain UMIR Exemptions Date Opened April 14, 2022 Status Closed Date Closed July 13, 2022
Re-publication of Proposed Derivatives Rule Modernization, Stage 1 Date Opened April 14, 2022 Status Closed Date Closed June 13, 2022
Proposed Amendments respecting Reporting, Internal Investigation and Client Complaint Requirements Date Opened January 13, 2022 Status Closed Date Closed April 14, 2022
Competency Profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers Date Opened August 31, 2021 Status Closed Date Closed December 29, 2021
