Dec 19, 2019 | Submission FAIR Canada welcomes the CSA ban on embedded commissions for mutual funds Read More
Nov 07, 2019 | Submission FAIR Canada Follow Up Letter re: IIROC Proposals for Minor Contraventions Program and Early Resolutions Offers Policy Read More
Oct 18, 2019 | Submission IIROC Dealers Using Client Agreements that violate IIROC Rules and Securities Act requirements ~ IIROC Notice 19-0177 Read More
Sep 30, 2019 | Submission A National Securities Portal Database is a Practical Alternative to a National Regulator Read More
Sep 09, 2019 | Submission Financial Consumer Affairs Authority of Saskatchewan Financial Planners Consultation Read More
Aug 07, 2019 | Submission Letter to CSA RE: IIROC Notice 19-0076 Proposed Amendments to Rules of Investment Industry Regulatory Organization of Canada (IIROC) ~ Minor Contravention Program and Early Resolution Offers Read More
Aug 06, 2019 | Submission Mutual Fund Dealers Association of Canada Proposed Amendments to MFDA Rule 2.3.1(b) (Discretionary Trading) Read More
Jul 04, 2019 | Submission IIROC Notice 19-0076 Minor Contravention Program and Early Resolution Offers Read More