Current FAIR Canada Submissions and Reports
2010 Submissions/Reports
- REPORT (July 23, 2010) – Managing Conflicts of Interest in TSX Listed Company Regulation
- SUBMISSION (July 7, 2010) – CSA Notice and Request For Comment – Modernization of Scholarship Plan Regulation Phase 1 – A New Prospectus Form for Scholarship Plans
- SUBMISSION (May 3, 2010) - Comments on Requirements and Best Practices for Distribution of Non Arm’s-Length Investment Products
- SUBMISSION (April 30, 2010) - Comments on the Task Force on Financial Literacy’s “Leveraging Excellence” Consultation Document
- REPORT (April 7, 2010) – Legislative Report Highlights “Public Interest” Mandate of OSC – Committee calls for reassessment of the role of OSC in investor protection
- SUBMISSION (March 16, 2010) on IIROC Request for Comments regarding Review of IIROC Arbitration Program
- REPORT (March 11, 2010) – Money Market Funds – Zero Returns
- SUBMISSION (February 12, 2010) – OSC Request for Comments – OSC Draft Statement of Priorities for 2010-11
2009 Submissions/Reports
- SUBMISSION (Dec 1/09) - IIROC Request for Comments - Draft Guidance Note: “Know your client and Suitability Guidelines”
- REPORT (Nov 2/09) – Contracts for Difference: Gambling for Retail Investors
- SUBMISSION (Oct 17/09) – OSC Request for Comments - Proposed Amendments to the Sale of Mutual Funds to Retail Investors
- SUBMISSION (Aug 6/09) – MFDA Request for Comments Task Force on Governance Issues
- SUBMISSION (Jul 29/09) – IIROC Request for Comments - Client Relationship Model
- SUBMISSION (Jul 29/09) – MFDA Request for Comments – Proposed amendments to MFDA Rules: Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 5.3 (Client Reporting), and Rule 2.8 (Client Communications)
- SUBMISSION (Jul 21/09) – IIROC Request for Public Comments – Proposed Over-the-Counter Securities Fair Pricing Rule and Confirmation Disclosure Requirements
- REPORT (Jul 13/09) – The Strange Case of Leveraged and Inverse ETFs, Part 2: A Few Steps Forward; Much Remains to be Done
- REPORT (May 15/09) – Investor Alert on the Dangers of Leveraged and Inverse ETFs: Heads You Lose, Tails You Lose: The Strange Case of Leveraged ETFs
- SUBMISSION (May 4/09) – Request for Comments (Part VI of TSX Company Manual) – Toronto Stock Exchange
- SUBMISSION (Feb 23/09) – Standing Committee on Government Agencies – Review of the Ontario Securities Commission: A Matter of Investor Confidence
- SUBMISSION (Jan 23/09) – The CSA on Point of Sale of Mutual Funds
- SUBMISSION (Jan 21/09) – TSX on Shareholder Approval of Major Transactions and International Standards
2008 Submissions/Reports
- SUBMISSION (Oct 9/08) – Joint Standing Committee on Retail Investors Issues - Product Suitability Consultation
- SUBMISSION (Sept 29/08) – TSX and OSC on Special Purpose Acquisition Corporations (SPAC)
