Submissions

Issues and Discussion Paper of the Autorité des marchés financiers on account transfers in the financial sector

Modernization of Requirements for Account Transfers and Bulk Account Movements

Proposed Approach to Oversight and Refinements to the Proposed Binding Authority Framework for an Identified Ombudservice

Proposed Amendments: Prohibition on the Use of Chargebacks in the Distribution of Investment Fund Securities

Disgorgement – Proposed Amendments to the Mutual Fund Dealer Rules

Canadian Investment Regulatory Organization (CIRO) Rule Consolidation Project – Phase 5 (the Proposal)

Protect Investors – Resist Pressure to Weaken Complaint-Handling Reforms

Proposed Amendments to the Principal Distributor Model in the Distribution of Mutual Fund Securities

Notice and Request for Comment – Proposed Consolidated Segregated Funds Guidance

Non-tailored Advice in the Order Execution Only (OEO) Channel