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Home / Enforcement & Fraud

Submission Category: Enforcement & Fraud

Distributing Funds Disgorged and Collected through CIRO Disciplinary Proceedings to Harmed Investors (Phase II)

FAIR Canada Follow Up Letter re: IIROC Proposals for Minor Contraventions Program and Early Resolutions Offers Policy

November 7, 2019   Charles Corlett Director, Enforcement Litigation Investment Industry Regulatory Organization of Canada Suite 2000, 121 King Street

Letter to CSA RE:    IIROC Notice 19-0076 Proposed Amendments to Rules of Investment Industry Regulatory Organization of Canada (IIROC) ~ Minor Contravention Program and Early Resolution Offers

PDF   August 7, 2019   Mr. Louis Morisset Chair, Canadian Securities Administrators President and Chief Executive Officer, Autorité des

IIROC Notice 19-0076 Minor Contravention Program and Early Resolution Offers

FAIR Canada is pleased to offer comments on IIROC Notice 19-0076 Minor Contravention Program and Early Resolution Offers.  PDF July

Letter from Mr. Louis Morisett of May 29, 2019 RE: Exemptive relief granted by Canadian securities regulators in connection with ASDP

A letter from Mr. Louis Morisett of May 29, 2019 in response to FAIR Canada’s letter of May 10, 2019. 

FAIR Canada Letter of May 10, 2019 RE: Exemptive relief granted by Canadian securities regulators in connection with ASDP

FAIR Canada Letter of May 10, 2019 in response to May 8, 2019 Letter of Mr. Louis Morisett RE: Exemptive

Letter from Mr. Louis Morisett of May 8, 2019 RE: Exemptive relief granted by Canadian securities regulators in connection with ASDP

A letter from Mr. Louis Morisett, Chair of the CSA of May 8, 2019 in response to FAIR Canada’s letter

Exemptive relief granted by Canadian securities regulators in connection with automatic stock disposition plans (“ASDP”)

FAIR Canada is writing to express concerns about exemptive relief granted by Canadian securities regulators for automatic stock disposition plans,

Request for Comment on Proposed MFDA Sanction Guidelines

FAIR Canada has provided comments in response to the MFDA’s consultation on proposed MFDA Sanction Guidelines. FAIR Canada believes the

Request for Comment – Enforcement – Alternative Forms of Disciplinary Action Proposed at IIROC

FAIR Canada provided comments in response to IIROC’s consultation to expand its portfolio of Enforcement Options to include a Minor

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