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