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
Dec 29, 2022
CSA Notice and Request for Comment – Proposed Amendments and Proposed Changes to Implement an Access-Based Model for Investment Fund Reporting Issuers
Dec 28, 2022
IIROC Competency Profiles for Supervisors, Traders, Associate Portfolio Managers and Portfolio Managers
Dec 22, 2022
OSC Notice 11-797 – Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2024
Nov 11, 2022
FSRA Proposed FY2023-2024 Statement of Priorities
Nov 7, 2022
Discussion Paper on Upfront Compensation in Segregated Funds
Sep 23, 2022
Corporate Governance Consultation: Improving Diversity and Facilitating Electronic Communications in Federally Regulated Financial Institutions
Sep 21, 2022
The Financial Planners and Financial Advisors Regulations – Notice of Proposed Changes and Request for Further Comment
Jul 28, 2022
CSA and CCIR Joint Notice and Request for Comment – Total Cost Reporting for Investment Funds and Segregated Funds
Jul 7, 2022
CSA Notice and Request for Comment – Proposed Amendments and Proposed Changes to Implement an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers
Jun 28, 2022
CSA Consultation on the Application for Recognition of New Self-Regulatory Organization
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)