Submissions

Title Protection – Proposed Rules TPA-001 General and TPA-002 Fees

CIRO Position Paper – Policy Options for Leveling the Advisor Compensation Playing Field

FSRA’s Consultation on Strengthening the Protection of Vulnerable Consumers

Consultation on Strengthening Competition in the Financial Sector

CSA’s Proposed Regulatory Framework for Resolving Disputes Between Investors and Investment Firms

Proposed Guidance on Life Insurance Agent & MGA Licensing Suitability

Proposed Guideline on Complaint-Handling Procedures for Trust and Loan Companies and Insurance Companies

CIRO Rule Consolidation Project – Phase 1

OSC Notice 11-798 – Statement of Priorities – Request for Comments Regarding Statement of Priorities for Fiscal Year 2024-2025

Proposed Amendments to Reduce the Minimum Consultation Period for Proposed Rules by FSRA and OSC From 90 days to 60 Days

Request for Comment on the Canadian Public Accountability Board’s Proposed Rule Changes

FSRA Proposed FY2024-2025 Statement of Priorities

Consultation Paper – Financial Planner Title Protection in Manitoba

CSA Request for Comments – Proposed Changes to Corporate Governance Disclosure

Proposed Proficiency Model – Approved Persons under the Investment Dealer and Partially Consolidated Rules

Additional Purposes for the Ontario Securities Commission’s Use of Enforcement Money

Deferred Sales Charges – Deposits to Pre-June 1, 2023 Segregated Fund Contracts

Notice of Changes and Request for Further Comment Proposed Rule 2022-001 Assessments and Fees

Proposal on Distributing Funds Disgorged and Collected Through New SRO Disciplinary Proceedings to Harmed Investors

Review of the New SRO Arbitration Program

Consultation on Proposed Amendments to the UDAP Rule – Deferred Sales Charges

Pre-Budget Consultations 2023 – Strengthening Canada’s Complaint-Handling System for Bank Customers

Regulation Respecting Complaint Processing and Dispute Resolution in the Financial Sector

OBSI Governance Review – Request for Public Comment

CSA Notice and Request for Comment – Proposed Amendments and Proposed Changes to Implement an Access-Based Model for Investment Fund Reporting Issuers

IIROC Competency Profiles for Supervisors, Traders, Associate Portfolio Managers and Portfolio Managers

OSC Notice 11-797 – Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2024

FSRA Proposed FY2023-2024 Statement of Priorities

Discussion Paper on Upfront Compensation in Segregated Funds

Corporate Governance Consultation: Improving Diversity and Facilitating Electronic Communications in Federally Regulated Financial Institutions

The Financial Planners and Financial Advisors Regulations – Notice of Proposed Changes and Request for Further Comment

CSA and CCIR Joint Notice and Request for Comment – Total Cost Reporting for Investment Funds and Segregated Funds

CSA Notice and Request for Comment – Proposed Amendments and Proposed Changes to Implement an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers

CSA Consultation on the Application for Recognition of New Self-Regulatory Organization

Proposed Amendments Respecting Reporting, Internal Investigation and Client Complaint Requirements

Consultation Paper – Independent Review Committee on Standard Setting in Canada

Public Comment on IOSCO Consultation Report on Retail Distribution and Digitalisation

Consultation Draft – Capital Markets Act

FSRA – Complaints Resolution: Policy Framework and Best Practices (No. GR0013INF)

Independent Evaluations of the Ombudsman for Banking Services and Investments (OBSI) with respect to Investment-Related Complaints and Banking-Related Complaints, and of the ADR Chambers Banking Ombuds Office (ADRBO) with respect to Banking Related Complaints

CSA Request for Comment 11-343 – Proposal to Establish a CSA Investor Advisory Panel

CSA Request for Comment – Proposed NI 51-107 Disclosure of Climate-Related Matters

AMF – Complaint processing and dispute settlement draft regulation

Consultation on the updated proposed Financial Professionals Title Protection Application Guidance and proposed Supervision Guidance

Consultation on Terms of Reference for Financial Services Regulatory Authority’s Consumer Advisory Panel

CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions to introduce the Listed Issuer Financing Exemption

Consultation on Proposed Financial Services Regulatory Authority of Ontario’s 2022-2023 Statement of Priorities

Financial and Consumer Services Commission of New Brunswick (FCNB) – Title Protection 2021

Consultation on Strengthening Canada’s External Complaint Handling System in Banking

CSA Position Paper 25-404 – New Self-Regulatory Organization Framework

Proposed Regulations – Saskatchewan: The Financial Planners and Financial Advisors Regulations

The Canadian Public Accountability Board (CPAB) – Consultation on Regulatory Disclosures

Proposed British Columbia Instrument 51-519 – Promotional Activity Disclosure Requirements

FAIR Canada Comment: Investment Industry Regulatory Organization of Canada Expert Investor Issues Panel

FAIR Canada Comment: Financial Services Regulatory Authority Title Protections

Proposed Amendments to National Instrument 33-109 and Related Instruments – Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines

MFDA Client Focused Reforms Rule amendments – FAIR Canada Comments

IIROC Client Focused Reforms Rule amendments – FAIR Canada Comments

Proposed Prospectus Exemption for Self-Certified Investors

OSC Notice 11-791 – Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2022

Re: FSRA Proposed Rule – Financial Professionals Title Protection Request for Comments

Submission to the CSA Consultation on the Self-Regulatory Organization Framework

FAIR Canada Response to the CMM Taskforce Consultation Proposals

CSA Notice and Request for Comment – Proposed Amendments to National Instrument 31-103 to Enhance Protection of Older and Vulnerable Clients (the “CSA Proposal”)

FAIR Canada Response to OSC RE: Proposed Rule 81-502 Restrictions on the Use of the Deferred Sales Charges Option for Mutual Funds

PowerPoint Presentation to Ontario Capital Markets Modernization Taskforce

Letter to the Ontario Capital Markets Modernization Taskforce

Letter From Knowledge First Financial Regarding Group RESPs

RE: Class Proceedings Amendments, Bill 161, the Smarter Stronger Justice Act

Letter to the OSC Re: Covid-19 Relief for Vulnerable Retail Investors Invested in Group Plan RESPs

Submission To CSA On The Proposed Scope Of The Review Of Self-Regulatory Organizations

COVID 19 Financial Relief for Retail Investors:

Submission to the OSC and Request for Comment – Access Equals Delivery

FAIR Canada welcomes the CSA ban on embedded commissions for mutual funds

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

IIROC Dealers Using Client Agreements that violate IIROC Rules and Securities Act requirements ~ IIROC Notice 19-0177

A National Securities Portal Database is a Practical Alternative to a National Regulator

OSC Regulatory Burden Reduction Comments

Financial Consumer Affairs Authority of Saskatchewan Financial Planners Consultation

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

Mutual Fund Dealers Association of Canada Proposed Amendments to MFDA Rule 2.3.1(b) (Discretionary Trading)

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

Statement on SNC Part II: Clarification of FAIR Canada Position

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

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

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

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

Response to request for comment on the FCAC draft code of conduct for delivery of banking products and services to seniors

Joint CSA/IIROC Consultation Paper on Internalization in the Canadian Equity Market

Joint CSA/IIROC Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms

CSA Second Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations relating to Syndicated Mortgages

Stephen Jarislowsky On SNC Governance and DPA

FAIR Canada Statement on SNC Part I

Proposed FY 2019-20 FSRA Priorities and Budget Consumer Roundtable

FCAC Consultation on a Voluntary Banking Code of Conduct

Request for comment – Re: the Department of Finance’s proposed changes to the legislation governing the management of unclaimed balances

CSE Notice 2018-010 and Request for Comment – Public Interest Rule Amendment to Policy 6 Distributions

CSA’s Proposed Amendments to NI 81-105 Mutual Fund Sales Practices

CSA Notice and Request for Comment – Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms)

CSA Notice and Request for Comment on Reforms to Enhance the Client-Registrant Relationship