Apr 14, 2022

Proposed Amendments Respecting Reporting, Internal Investigation and Client Complaint Requirements

Mar 31, 2022

Consultation Paper – Independent Review Committee on Standard Setting in Canada

Mar 3, 2022

Public Comment on IOSCO Consultation Report on Retail Distribution and Digitalisation

Feb 18, 2022

Consultation Draft – Capital Markets Act

Feb 14, 2022

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

Jan 31, 2022

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

Jan 21, 2022

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

Jan 13, 2022

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

Dec 20, 2021

AMF – Complaint processing and dispute settlement draft regulation

Dec 8, 2021

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

Nov 30, 2021

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

Nov 5, 2021

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

Oct 29, 2021

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

Oct 25, 2021

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

Oct 14, 2021

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

Oct 1, 2021

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

Oct 1, 2021

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

Sep 30, 2021

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

Jul 26, 2021

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

Jun 29, 2021

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

Jun 21, 2021

FAIR Canada Comment: Financial Services Regulatory Authority Title Protections

Apr 23, 2021

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

Jan 18, 2021

MFDA Client Focused Reforms Rule amendments – FAIR Canada Comments

Jan 18, 2021

IIROC Client Focused Reforms Rule amendments – FAIR Canada Comments

Jan 11, 2021

Proposed Prospectus Exemption for Self-Certified Investors

Dec 21, 2020

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

Nov 12, 2020

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

Oct 26, 2020

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

Sep 9, 2020

FAIR Canada Response to the CMM Taskforce Consultation Proposals

Jul 22, 2020

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

Jul 8, 2020

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

Jul 8, 2020

PowerPoint Presentation to Ontario Capital Markets Modernization Taskforce

Jul 8, 2020

Letter to the Ontario Capital Markets Modernization Taskforce

May 14, 2020

Letter From Knowledge First Financial Regarding Group RESPs

May 11, 2020

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

Apr 23, 2020

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

Mar 27, 2020

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

Mar 26, 2020

COVID 19 Financial Relief for Retail Investors:

Mar 9, 2020

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

Dec 19, 2019

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

Nov 7, 2019

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

Oct 18, 2019

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

Sep 30, 2019

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

Sep 30, 2019

OSC Regulatory Burden Reduction Comments

Sep 9, 2019

Financial Consumer Affairs Authority of Saskatchewan Financial Planners Consultation

Aug 7, 2019

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

Aug 6, 2019

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

Jul 4, 2019

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

Jun 27, 2019

Statement on SNC Part II: Clarification of FAIR Canada Position

Jun 6, 2019

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

Jun 6, 2019

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

Jun 6, 2019

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

Jun 6, 2019

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

May 31, 2019

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

May 13, 2019

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

May 13, 2019

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

May 8, 2019

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

Apr 19, 2019

Stephen Jarislowsky On SNC Governance and DPA

Apr 15, 2019

FAIR Canada Statement on SNC Part I

Feb 7, 2019

Proposed FY 2019-20 FSRA Priorities and Budget Consumer Roundtable

Feb 6, 2019

FCAC Consultation on a Voluntary Banking Code of Conduct

Jan 29, 2019

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

Jan 4, 2019

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

Dec 13, 2018

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

Oct 19, 2018

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

Aug 30, 2018

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

Aug 7, 2018

FAIR Canada Comments on Draft Prospectus and Related Registration Exemptions for the Cooperative Capital Markets Regulatory System

Jul 25, 2018

Request for Comment on Proposed MFDA Sanction Guidelines

Jul 13, 2018

MFDA Discussion Paper on Expanding Cost Reporting

Jun 27, 2018

MFDA – Proposed Continuing Education Requirements

Jun 13, 2018

CSA Staff Notice 61-303 and Request for Comment – Soliciting Dealer Arrangements

Jun 13, 2018

CSA Notice and Request for Comment on 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 and Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions

Jun 4, 2018

OBSI Terms of Reference Renewal Project: Public Consultation

May 29, 2018

Ontario Securities Commission Notice 11-780 – Statement of Priorities

May 24, 2018

Request for Comment – Enforcement – Alternative Forms of Disciplinary Action Proposed at IIROC

May 8, 2018

Proposed MFDA Staff Notice on MFDA Member Intermediary Arrangements

Apr 17, 2018

FAIR Canada Comments on Regulation of Financial Planners

Apr 4, 2018

British Columbia Securities Commission Notice 2018/01 – Consulting on the Securities Law Framework for Fintech Regulation

Mar 5, 2018

Republication of Proposed IIROC Dealer Member Plain Language Rule Book – IIROC Notice 18-0014

Feb 28, 2018

Continuing Education Rules – Proposed Amendments

Feb 26, 2018

FAIR Canada, PIAC, CARP and Kenmar Associates Urge Response from JRC to Independent Reviewer’s Recommendations

Feb 21, 2018

Re: OBSI Independent Evaluator’s Report, 2016

Feb 6, 2018

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

Jan 29, 2018

Canadian Securities Administrators (“CSA”) Request for Comment on Consultation Paper 52-404 Approach to Director and Audit Committee Member Independence

Dec 8, 2017

Reviews of Retail Sales Practices at Canada’s Banks

Dec 7, 2017

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

Nov 20, 2017

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

Nov 15, 2017

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

Oct 26, 2017

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

Oct 17, 2017

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

Oct 2, 2017

Review of the Federal Financial Sector Framework – Second Consultation Paper

Sep 8, 2017

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

Aug 3, 2017

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

Aug 3, 2017

CSA Consultation Paper 51-404 – Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers  

Jun 9, 2017

Canadian Securities Administrators (“CSA”) Consultation on the Option of Discontinuing Embedded Commissions – Consultation Paper 81-408

Jun 9, 2017

Consumer Protection and Oversight in Relation to Schedule I Banks

May 24, 2017

Ontario Securities Commission Notice 11-777 – Statement of Priorities

May 18, 2017

What About the Investors? White Paper on the Proposed Cooperative Capital Markets Regulator

Mar 31, 2017

Reports of Improper Sales Practices at Canada’s Banks

Mar 30, 2017

Financial Services Regulatory Authority of Ontario Act, 2016