| Current Submissions/Reports |
| April 26, 2013 |
OPEN LETTER – Letter to CSA re Misleading Use of Business Titles and Financial Designations |
| April 12, 2013 |
SUBMISSION – CSA Mutual Fund Fees |
| April 12, 2013 |
SUBMISSION – BCSC NI 45-106 New Exemption
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| March 19, 2013 |
SUBMISSION – AMF Offering Memorandum Exemption and Equity Crowdfunding
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| March 9, 2013 |
SUBMISSION - IIROC Request for Comments re Use of Business Titles and Financial Designations
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| March 8, 2013 |
SUBMISSION - OSC Exempt Market Review: OSC Staff Consultation Paper 45-710 Considerations for New Capital Raising Prospectus Exemptions
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| February 28, 2013 |
SUBMISSION – TSX Consultation Paper on Emerging Market Issuers
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| February 22, 2013 |
SUBMISSION - CSA Consultation Paper 33-403 Statutory Best Interest Standard
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| February 20, 2013 |
SUBMISSION - Multilateral CSA Notice 45-311
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| January 31, 2013 |
SUBMISSION - Proposed Revocation of BC Instrument 32-513 (the Northwestern Exemption) and BC Instrument 32-517 (the MIE exemption)
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| January 25, 2013 |
SUBMISSION - Dispute Resolution Service
|
| January 18, 2013 |
SUBMISSION - IIROC Outsourcing Arrangements
|
| December 12, 2012 |
SUBMISSION – CSA Venture Issuer Governance and Disclosure Requirements
|
| November 12, 2012 |
LETTER – FSCO Unsuitable Recommendations to Borrow to Invest
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| November 12, 2012 |
SUBMISSION - IIROC Compensation Structures for Retail Accounts |
| November 12, 2012 |
SUBMISSION - TSX Proposed Amendments re Listing Appeals |
| November 5, 2012 |
SUBMISSION - TSX amendments to Part IV of the Company Manual |
| October 15, 2012 |
SUBMISSION – IIROC Proposed Guidance on Certain Manipulative and Deceptive Trading Practices |
| October 12, 2012 |
SUBMISSION - Unclaimed Intangible Property Program (Ontario AG) |
| October 11, 2012 |
SUBMISSION – IIROC Restricted Dealer Member Proposal |
| October 4, 2012 |
SUBMISSION - IIROC Guidance on Borrowing for Investment Purposes |
| September 14, 2012 |
SUBMISSION – CSA Cost Disclosure and Performance Reporting |
| September 6, 2012 |
SUBMISSION – CSA Implementation of Stage 2 of Point of Sale Disclosure for Mutual Funds |
| August 13, 2012 |
SUBMISSION – Federal Ministry of Finance Approved External Complaints Bodies (Banks and Authorized Foreign Banks) Regulations |
| July 9, 2012 |
SUBMISSION – OBSI suitability and loss assessment consultation |
| June 22, 2012 |
SUBMISSION – Second Notice and Request for Comment re Maple Group Acquisition Corporation |
| June 21, 2012 |
SUBMISSION – Consolidation of IIROC Enforcement Procedural Examination and Approval Rules |
| June 6, 2012 |
SUBMISSION – FSCO’s Draft Statement of Priorities |
| June 4, 2012 |
SUBMISSION – Proposed Recognition Order for Maple Group |
| June 1, 2012 |
SUBMISSION – Consultation on the Framework for Reforming the Board of Directors of OBSI |
| May 30, 2012 |
SUBMISSION – Transparency of Short Selling and Failed Trades |
| May 18, 2012 |
SUBMISSION – OSC draft 2012-2013 Statement of Priorities |
| May 18, 2012 |
SUBMISSION – The Investor Advisory Panel – Input Sought |
| May 3, 2012 |
SUBMISSION – IIROC Dealer Member Margin Rules |
| April 30, 2012 |
SUBMISSION – Incorporation of Individual Representatives Project |
| March 9, 2012 |
SUBMISSION – AMF Compensation Consultation |
| February 29, 2012 |
SUBMISSION – CSA Review of Minimum Amount and Accredited Investor Exemptions |
| February 2, 2012 |
SUBMISSION – Requirement to Disclose Membership in IIROC as Dealer Member |
| February 2, 2012 |
SUBMISSION – MFDA By-law No.1 Amendments |
| January 24, 2012 |
SUBMISSION - CSA Second Request for Comment on the Modernization of Scholarship Plan Regulation Phase 1: A New Prospectus Form for Scholarship Plans |
| |
| 2011 Submissions/Reports |
| December 20, 2011 |
SUBMISSION - OSC Proposed Enforcement Initiatives |
| November 10, 2011 |
SUBMISSION – CSA – Stage 2 of Point of Sale Initiative |
| November 7, 2011 |
SUBMISSION – Maple Proposal |
| October 27, 2011 |
SUBMISSION – Ongoing Governance and Disclosure Requirements for Venture Issuers |
| October 26, 2011 |
SUBMISSION – Dark Liquidity |
| October 11, 2011 |
SUBMISSION – Proposed Amendments to Part IV of the TSX Company Manual |
| October 6, 2011 |
SUBMISSION – MFDA Leverage Suitability |
| September 23, 2011 |
SUBMISSION – Cost Disclosure & Performance Reporting |
| August 31, 2011 |
SUBMISSION – Proposed Rules and Rule Amendments Relating to Securitized Products |
| July 25, 2011 |
SUBMISSION – Phase 2 Investment Fund Proposals |
| July 25, 2011 |
SUBMISSION – OBSI Consultation Loss Compensation |
| July 11, 2011 |
SUBMISSION – Guidance Note – Outside Business Activities |
| June 29, 2011 |
SUBMISSION – TMX/LSE Proposed Transaction |
| June 27, 2011 |
SUBMISSION – Investment Risk Classification Methodology Disclosure Requirements of National Instrument 81-101 Mutual Fund Prospectus Disclosure |
| June 6, 2011 |
SUBMISSION – FSCO Draft Statement of Priorities |
| June 1, 2011 |
SUBMISSION – FAIR Canada Supports Mandatory OBSI Participation for IIROC and MFDA Member Firms |
| May 27, 2011 |
SUBMISSION – Alpha Exchange Application |
| May 13, 2011 |
SUBMISSION - Proposed Changes to the CFP Code of Ethics |
| April 27, 2011 |
SUBMISSION – Ontario Securities Commission Notice 11-765 – 2011-2012 Statement of Priorities (Draft for Comment) |
| April 8, 2011 |
SUBMISSION – IIROC Guidance on Advertising and Client Communications |
| March 8, 2011 |
SUBMISSION - IIROC Proposals to implement the core principles of the Client Relationship Model |
| February 25, 2011 |
SUBMISSION – Proposed Incorporation of Individual Representatives of Registered Dealers and Advisers |
| February 18, 2011 |
REPORT – A Decade of Financial Scandals - Appendix A – Appendix B |
| January 25, 2011 |
SUBMISSION - Limitation on IIROC Enforcement Proceedings |
| January 14, 2011 |
SUBMISSION - OSC Investor Advisory Panel (“IAP”) Seeks Input |
| January 7, 2011 |
SUBMISSION - IIROC Request for Comment Plain language rule re-write project – Dealing with clients, Proposed Rules 3400-3900 |
|
|
| 2010 Submissions/Reports |
| November 29, 2010 |
SUBMISSION - Letter to Ontario Minister of Finance: Securing Our Retirement Future: Consulting with Ontarians on Canada’s Retirement Income System |
| November 29, 2010 |
SUBMISSION - Proposed Revisions to OBSI Terms of Reference |
| October 8, 2010 |
SUBMISSION - MFDA Proposed Fees and Charges Rule Amendments |
| October 8, 2010 |
SUBMISSION - IIROC Proposed Award Limit Increase and Costs Awards |
| September 30, 2010 |
SUBMISSION - CSA Proposed Amendments to Registration and Requirements |
| September 24, 2010 |
SUBMISSION – CSA Amendments to Fund Regulation and Disclosure |
| September 17, 2010 |
SUBMISSION – CSA Proposed Venture Issuer Regulation Amendments |
| September 7, 2010 |
SUBMISSION - CSA Proposed Amendments Re. Beneficial Owners and Continuous Disclosure |
| August 27, 2010 |
SUBMISSION – IIROC Proposed Personal Financial Dealing and Outside Business Activities Proposals |
| July 23, 2010 |
REPORT – Managing Conflicts of Interest in TSX Listed Company Regulation |
| July 7, 2010 |
SUBMISSION – CSA Modernization of Scholarship Plan Regulation Phase 1 – A New Prospectus Form for Scholarship Plans |
| May 3, 2010 |
SUBMISSION - Requirements and Best Practices for Distribution of Non Arm’s-Length Investment Products |
| April 30, 2010 |
SUBMISSION - The Task Force on Financial Literacy’s “Leveraging Excellence” Consultation Document |
| March 16, 2010 |
SUBMISSION - Review of IIROC Arbitration Program |
| March 11, 2010 |
REPORT – Money Market Funds – Zero Returns |
| February 12, 2010 |
SUBMISSION - OSC Draft Statement of Priorities for 2010-11 |
|
|
| 2009 Submissions/Reports |
| December 1, 2009 |
SUBMISSION - IIROC Draft Guidance Note: “Know your client and Suitability Guidelines” |
| November 2, 2009 |
REPORT - Contracts for Difference: Gambling for Retail Investors |
| October 17, 2009 |
SUBMISSION - CSA Proposed Amendments to the Sale of Mutual Funds to Retail Investors |
| August 6, 2009 |
SUBMISSION - MFDA Task Force on Governance Issues Report |
| July 23, 2009 |
SUBMISSION - CSA, IIROC and MFDA Proposals Re. the Client Relationship Model |
| July 23, 2009 |
SUBMISSION - MFDA Proposed Amendments to Relationship Disclosure and Performance Reporting |
| July 16, 2009 |
SUBMISSION - IIROC Proposed Over-the-Counter Securities Fair Pricing Rule and Confirmation Disclosure Requirements |
| July 13, 2009 |
REPORT - The Strange Case of Leveraged and Inverse ETFs, Part 2: A Few Steps Forward; Much Remains to be Done |
| May 15, 2009 |
REPORT - Investor Alert on the Dangers of Leveraged and Inverse ETFs: Heads You Lose, Tails You Lose: The Strange Case of Leveraged ETFs |
| May 4, 2009 |
SUBMISSION - Toronto Stock Exchange Proposed Changes to Part VI of TSX Company Manual |
| February 23, 2009 |
SUBMISSION - Standing Committee on Government Agencies – Review of the Ontario Securities Commission: A Matter of Investor Confidence |
| January 23, 2009 |
SUBMISSION - The CSA on Point of Sale of Mutual Funds |
| January 21, 2009 |
SUBMISSION - TSX on Shareholder Approval of Major Transactions and International Standards |
|
|
| 2008 Submissions/Reports |
| October 9, 2008 |
SUBMISSION - Joint Standing Committee on Retail Investors Issues – Product Suitability Consultation |
| September 29, 2008 |
SUBMISSION - TSX and OSC on Special Purpose Acquisition Corporations (SPAC) |
