| #0045-M |
12/23/03 |
Resignation |
Datile Securities Inc. |
 |
 |
| #0044-M |
12/12/03 |
Membership Information |
MFDA Completes Corporate Governance Restructuring |
|
|
| #0043-M |
11/19/03 |
New Members |
Fidelity Retirement Services Company of Canada Limited and The Western Mutual Fund Company Ltd. |
|
|
| #0042-M |
11/19/03 |
Notice of Intention to Resign |
Brake Securities Ltd. |
|
|
| #0041-M |
11/18/03 |
Notice of Intention to Resign |
MII Managed Investments Ltd. |
|
|
| #0040-M |
11/17/03 |
Notice of Intention to Resign |
Canadian Retirement Securities Ltd. |
|
|
| #0039-M |
11/13/03 |
Notice of Intention to Resign |
West-Can Equities Ltd. |
|
|
| #0038-C |
11/12/03 |
Compliance |
Equity and Fixed Income Trades |
|
|
| #0037-M |
10/16/03 |
New Members |
Acadia Financial Services Inc./Services Financiers Acadie Inc. and Aldersley Securities Inc. |
|
|
| #0036-M |
10/06/03 |
Amalgamation |
Rice Financial Group Inc. and Independent Wealth Advantage Inc. |
|
|
| #0035-M |
10/06/03 |
Notice of Intention to Resign |
KingsGate Financial Group Ltd. |
|
|
| #0034-M |
10/08/03 |
Resignation |
Peakvest Planning Associates Limited |
|
|
| #0033-M |
09/24/03 |
Membership Information |
Amendments to Subordinated Loans |
|
|
| #0032-M |
09/08/03 |
Membership Information |
OSC Request for Comment - MFDA By-law Amendments - Corporate Governance Amendments: MFDA By-law No. 5 and No. 6 |
|
|
| #0031-M |
08/21/03 |
Change of Name |
UBS Securities (Canada) Inc. to UBS Investment Services Canada Inc. |
|
|
| #0030-M |
08/20/03 |
Membership Information |
Payment of Commissions to Non-Registered Entitites in British Columbia |
|
|
| #0029-M |
08/20/03 |
Membership Information |
Client Identification Requirements under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act |
|
|
| #0028-M |
08/19/03 |
Resignation |
Gonzales Bay Financial Services Inc. |
|
|
| #0027-M |
08/15/03 |
Resignation |
Harvest Financial Inc. |
|
|
| #0026-M |
07/31/03 |
Change of Name |
Global Educational Funds Inc. to Global Maxfin Investments Inc. |
|
|
| #0025-M |
07/17/03 |
Membership Information |
Potential Canadian Postal Strike |
|
|
| #0024-M |
07/17/03 |
Notice of Intention to Resign |
Datile Securities Inc. |
|
|
| #0023-M |
07/11/03 |
Resignation |
Peter Watson Investments Limited |
|
|
| #0022-M |
07/07/03 |
Change of Name |
CMG Worldsource Financial Services Inc. to Worldsource Financial Management Inc. |
|
|
| #0021-M |
06/16/03 |
Change of Name |
eFunds.ca Securities Limited to Wealth Advisory Services Ltd. |
|
|
| #0020-M |
06/01/03 |
Notice of Intention to Resign |
Target Financial Group Ltd. |
|
|
| #0019-M |
05/27/03 |
Notice of Intention to Resign |
Avenue Wealth Management Inc. |
|
|
| #0018-M |
05/27/03 |
Notice of Intention to Resign |
Peter Watson Investments Limited |
|
|
| #0017-P |
05/01/03 |
Policy |
CSA Staff Joint Notice Concerning National Instrument 23-101 |
|
|
| #0016-M |
05/01/03 |
Notice of Intention to Resign |
Harvest Financial Inc. |
|
|
| #0015-E |
04/11/03 |
Enforcement |
Cheque Fraud Reported |
|
|
| #0014-M |
04/04/03 |
Notice of Intention to Resign |
Jades Securities Inc. |
|
|
| #0013-M |
04/04/03 |
Notice of Intention to Resign |
Peakvest Planning Associates Limited |
|
|
| #0012-P |
03/24/03 |
Policy |
Policy Consultation Paper: CP 81-403 - Rethinking Point of Sale Disclosure for Segregated and Mutual Funds |
|
|
| #0011-P |
03/24/03 |
Policy |
Corporate Governance Report |
|
|
| #0010-P |
03/21/03 |
Policy |
National Registration Database |
|
|
| #0009-M |
03/18/03 |
Resignation |
Twenty-First Century Funds Inc. |
|
|
| #0008-M |
02/28/03 |
Resignation |
Brunswick Funds Group Ltd. |
|
|
| #0007-C |
02/18/03 |
Compliance |
Transition Period for Minimum Capital |
|
|
| #0006-M |
02/04/03 |
Change of Name |
Tom Delaney Financial Inc. to Monarch Delaney Financial Inc. |
|
|
| #0005-M |
02/04/03 |
Amalgamation |
HUB Capital and Sun Life Financial Advisory Services Inc. |
|
|
| #0004-M |
01/30/03 |
Change of Name |
OTG Financial Inc. |
|
|
| #0003-M |
01/31/03 |
Resignation |
Advisory Management Limited |
|
|
| #0002-M |
11/27/02 |
Notice of Intention to Resign |
Brunswick Funds Group Ltd. |
|
|
| #0001-M |
11/19/02 |
Notice of Intention to Resign |
Advisory Management Limited |
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|
