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
Sep 30, 2021
The Canadian Public Accountability Board (CPAB) – Consultation on Regulatory Disclosures
Jul 26, 2021
Proposed British Columbia Instrument 51-519 – Promotional Activity Disclosure Requirements
Jun 29, 2021
FAIR Canada Comment: Investment Industry Regulatory Organization of Canada Expert Investor Issues Panel
Jun 21, 2021
FAIR Canada Comment: Financial Services Regulatory Authority Title Protections
Apr 23, 2021
Proposed Amendments to National Instrument 33-109 and Related Instruments – Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines
Jan 18, 2021
MFDA Client Focused Reforms Rule amendments – FAIR Canada Comments
Jan 18, 2021
IIROC Client Focused Reforms Rule amendments – FAIR Canada Comments
Jan 11, 2021
Proposed Prospectus Exemption for Self-Certified Investors
Dec 21, 2020
OSC Notice 11-791 – Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2022
Nov 12, 2020
Re: FSRA Proposed Rule – Financial Professionals Title Protection Request for Comments
Oct 26, 2020
Submission to the CSA Consultation on the Self-Regulatory Organization Framework
Sep 9, 2020
FAIR Canada Response to the CMM Taskforce Consultation Proposals
Jul 22, 2020
CSA Notice and Request for Comment – Proposed Amendments to National Instrument 31-103 to Enhance Protection of Older and Vulnerable Clients (the “CSA Proposal”)
Jul 8, 2020
FAIR Canada Response to OSC RE: Proposed Rule 81-502 Restrictions on the Use of the Deferred Sales Charges Option for Mutual Funds
Jul 8, 2020
PowerPoint Presentation to Ontario Capital Markets Modernization Taskforce
Jul 8, 2020
Letter to the Ontario Capital Markets Modernization Taskforce
May 14, 2020
Letter From Knowledge First Financial Regarding Group RESPs