FAIR Canada provided comments to the MFDA regarding the MFDA’s discussion paper on the development of continuing education requirements. While
Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement)
FAIR Canada offered comments to the MFDA regarding the proposed changes to MFDA Rule 5.3.2 (Content of Account Statement) to
Request for Comment on Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) regarding Outside Business Activities including Financial Planning
FAIR Canada provided comments on the MFDA’s proposed amendments to MFDA Rule 1.2 (Individual Qualifications) regarding proficiency and outside business
IIROC re Requirement to Disclose Membership in IIROC as a Dealer Member
FAIR Canada supports efforts to promote and raise awareness of IIROC, its regulatory function, and the fact of dealer members’
IIROC Proficiency Assurance Consultation
Download PDF November 17, 2014 RE: Proficiency Assurance: The Next Phase – Consultation Relating to Expiry of CSI Contract FAIR
Financial Planning Consultation
Download PDF February 7, 2014 Frank Allen Assistant Deputy Minister Ministry of Finance Frost Building North, 4th Floor 95 Grosvenor
Letter to CSA re Misleading Use of Business Titles and Financial Designations
Download PDF April 26, 2013 Canadian Securities Administrators c/o Mr. Bill Rice Chair, Canadian Securities Administrators Suite 600, 250-5th
CSA Mutual Fund Fees
Download PDF April 12, 2013 RE: Canadian Securities Administrators (“CSA”) Discussion Paper and Request for Comment 81-407 Mutual Fund Fees
IIROC Request for Comments re Use of Business Titles and Financial Designations
Download PDF March 9, 2013 Rossana Di Lieto Vice President, Registration, Complaints & Inquiries Investment Industry Regulatory Organization of
IIROC Compensation Structures for Retail Accounts
Download PDF November 12, 2012 Robert Keller, Policy Counsel Investment Industry Regulatory Organization of Canada 121 King Street West,