Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1
On November 4, 2011, the British Columbia Securities Commission (“BCSC”) published for public comment proposed amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 . The comment period expires on February 2, 2012.
Proposed Amendments to MFDA Rule 5.3 (Client Reporting)
On October 28, 2011, the British Columbia Securities Commission (“BCSC”) published for public comment proposed amendments to MFDA Rule 5.3 (Client Reporting). The comment period expired on November 28, 2011.
Proposed Amendments to MFDA Rule 2.2.1 (“Know-Your-Client”) and Policy No. 2 Minimum Standards for Account Supervision
On July 8, 2011, the British Columbia Securities Commission (“BCSC”) published for public comment proposed amendments to MFDA Rule 2.2.1 (“Know-Your-Client”) and Policy No. 2 Minimum Standards for Account Supervision. The comment period expired on October 6, 2011.
Proposed Amendments to MFDA Rule 3.3.2 (Segregation of Client Property – Cash)
On June 25, 2010, the British Columbia Securities Commission (“BCSC”) published for public comment proposed amendments to MFDA Rule 3.3.2 (Segregation of Client Property – Cash). The comment period expired on September 24, 2010.
