Nov 26, 2024
OBSI consultation on loss calculation for complaints involving unsuitably sold illiquid exempt market securities
Oct 7, 2024
Distribution of Amounts Paid to the Ontario Securities Commission under Disgorgement Order
Sep 9, 2024
Proposed Life and Health Managing General Agent Legislative Framework in Ontario
Aug 12, 2024
Regulation respecting information to be provided to holders of individual variable insurance contracts relating to segregated funds
Jul 25, 2024
FSRA’s Consultation on Rule 2024-002 – Total Cost Reporting Rule
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
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)
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