Submissions

Distribution of Amounts Paid to the Ontario Securities Commission under Disgorgement Order

Proposed Life and Health Managing General Agent Legislative Framework in Ontario

Regulation respecting information to be provided to holders of individual variable insurance contracts relating to segregated funds

FSRA’s Consultation on Rule 2024-002 – Total Cost Reporting Rule

Issues and Discussion Paper – Best Practices for the Responsible Use of AI in the Financial Sector

Title Protection – Proposed Rules TPA-001 General and TPA-002 Fees

CIRO Position Paper – Policy Options for Leveling the Advisor Compensation Playing Field

FSRA’s Consultation on Strengthening the Protection of Vulnerable Consumers

Consultation on Strengthening Competition in the Financial Sector

CSA’s Proposed Regulatory Framework for Resolving Disputes Between Investors and Investment Firms

Proposed Guidance on Life Insurance Agent & MGA Licensing Suitability

Proposed Guideline on Complaint-Handling Procedures for Trust and Loan Companies and Insurance Companies

CIRO Rule Consolidation Project – Phase 1

OSC Notice 11-798 – Statement of Priorities – Request for Comments Regarding Statement of Priorities for Fiscal Year 2024-2025

Proposed Amendments to Reduce the Minimum Consultation Period for Proposed Rules by FSRA and OSC From 90 days to 60 Days

Request for Comment on the Canadian Public Accountability Board’s Proposed Rule Changes

FSRA Proposed FY2024-2025 Statement of Priorities

Consultation Paper – Financial Planner Title Protection in Manitoba

CSA Request for Comments – Proposed Changes to Corporate Governance Disclosure

Proposed Proficiency Model – Approved Persons under the Investment Dealer and Partially Consolidated Rules

Additional Purposes for the Ontario Securities Commission’s Use of Enforcement Money

Deferred Sales Charges – Deposits to Pre-June 1, 2023 Segregated Fund Contracts

Notice of Changes and Request for Further Comment Proposed Rule 2022-001 Assessments and Fees

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