Jun 4, 2024

Issues and Discussion Paper – Best Practices for the Responsible Use of AI in the Financial Sector

Apr 10, 2024

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

Mar 25, 2024

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

Mar 8, 2024

FSRA’s Consultation on Strengthening the Protection of Vulnerable Consumers

Feb 28, 2024

Consultation on Strengthening Competition in the Financial Sector

Feb 28, 2024

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

Feb 9, 2024

Proposed Guidance on Life Insurance Agent & MGA Licensing Suitability

Jan 3, 2024

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

Dec 19, 2023

CIRO Rule Consolidation Project – Phase 1

Dec 18, 2023

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

Dec 7, 2023

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

Nov 20, 2023

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

Nov 16, 2023

FSRA Proposed FY2024-2025 Statement of Priorities

Sep 29, 2023

Consultation Paper – Financial Planner Title Protection in Manitoba

Sep 29, 2023

CSA Request for Comments – Proposed Changes to Corporate Governance Disclosure

Sep 20, 2023

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

Sep 18, 2023

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

Jun 30, 2023

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

Jun 2, 2023

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

Apr 28, 2023

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

Mar 6, 2023

Review of the New SRO Arbitration Program

Feb 23, 2023

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

Feb 10, 2023

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

Feb 3, 2023

Regulation Respecting Complaint Processing and Dispute Resolution in the Financial Sector

Jan 31, 2023

OBSI Governance Review – Request for Public Comment