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Home / 2017

Submission Date: 2017

Reviews of Retail Sales Practices at Canada’s Banks

  PDF December 8, 2017 SENT VIA E-MAIL Jeremy Rudin Superintendent of Financial Institutions Office of the Superintendent of Financial

Aequitas NEO Exchange Listing Manual Amendments for Emerging Market Issuers (“EMIs”)

In response to Aequitas NEO Exchange’s consultation on proposed listing manual amendments to permit the listing of Emerging Market Issuers

Competition Bureau Review of Technology-led Innovation and Emerging Services in the Canadian Financial Services Sector – Draft Report

FAIR Canada has commented on the Competition Bureau’s Draft Report, which reviews technology-led innovation and emerging services in the Canadian

Report on Vulnerable Investors: Elder Abuse, Financial Exploitation, Undue Influence and Diminished Mental Capacity

Full Report PDF Quick Facts PDF Executive Summary Canadian investment firms and their financial services representatives[1] (hereinafter referred to as

Report on Vulnerable Investors Elder Abuse, Financial Exploitation, Undue Influence and Diminished Mental Capacity

Letter to OBSI Joint Regulators Committee re Use of “Internal Ombudsman” by Registered Firms When Responding to Investment Complaints

FAIR Canada and the Public Interest Advocacy Centre (PIAC) have written a joint letter to the Ombudsman for Banking Services

IOSCO’s Consultation Report – Public Comment on Regulatory Reporting and Public Transparency in the Secondary Corporate Bond Markets  

FAIR Canada has provided comments supporting IOSCO’s recommendations regarding regulatory reporting and public transparency in the secondary corporate bond markets. FAIR Canada

Review of the Federal Financial Sector Framework – Second Consultation Paper

DOWNLOAD PDF September 29, 2017   Director Financial Institutions Division Financial Sector Policy Branch Department of Finance Canada James Michael

CSA Multilateral Notice and Request for Comment – Proposed Amendments to National Instrument 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution

Download PDF September 8, 2017   Alberta Securities Commission Financial and Consumer Affairs Authority of Saskatchewan Manitoba Securities Commission Ontario

Canadian Securities Administrators (“CSA”) Notice and Request for Comment on Proposed National Instrument 91-102 Prohibition of Binary Options and Related Proposed Companion Policy

Download PDF   July 26, 2017   Alberta Securities Commission Financial and Consumer Affairs Authority of Saskatchewan Manitoba Securities Commission

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