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Enforcement & Fraud / Enforcement

Submission Category: Enforcement

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 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 – 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

Financial and Consumer Services Commission Consultation Paper November 2017: Improving Detection, Prevention and Response to Senior Financial Abuse in New Brunswick

FAIR Canada and the Canadian Centre for Elder Law provides comments to New Brunswick’s Financial and Consumer Services Commission on

Consolidation of IIROC Enforcement Procedural Examination and Approval Rules

Download PDF June 21, 2012   Robert Keller Policy Counsel, Member Regulation Policy Investment Industry Regulatory Organization of Canada Suite

OSC Proposed Enforcement Initiatives

Download PDF December 20, 2011   John Stevenson, Secretary Ontario Securities Commission 20 Queen Street West, Suite 1903, Box 55

Limitation on IIROC Enforcement Proceedings

Download PDF January 25, 2011   Brendan Hart Policy Counsel, Member Regulation Policy Investment Industry Regulatory Organization of Canada Suite

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