Submissions

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