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

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