Feb 21, 2018
Re: OBSI Independent Evaluator’s Report, 2016
Feb 6, 2018
Financial and Consumer Services Commission Consultation Paper November 2017: Improving Detection, Prevention and Response to Senior Financial Abuse in New Brunswick
Jan 29, 2018
Canadian Securities Administrators (“CSA”) Request for Comment on Consultation Paper 52-404 Approach to Director and Audit Committee Member Independence
Dec 8, 2017
Reviews of Retail Sales Practices at Canada’s Banks
Dec 7, 2017
Aequitas NEO Exchange Listing Manual Amendments for Emerging Market Issuers (“EMIs”)
Nov 20, 2017
Competition Bureau Review of Technology-led Innovation and Emerging Services in the Canadian Financial Services Sector – Draft Report
Nov 15, 2017
Report on Vulnerable Investors: Elder Abuse, Financial Exploitation, Undue Influence and Diminished Mental Capacity
Oct 26, 2017
Letter to OBSI Joint Regulators Committee re Use of “Internal Ombudsman” by Registered Firms When Responding to Investment Complaints
Oct 17, 2017
IOSCO’s Consultation Report – Public Comment on Regulatory Reporting and Public Transparency in the Secondary Corporate Bond Markets
Oct 2, 2017
Review of the Federal Financial Sector Framework – Second Consultation Paper