Nov 15, 2017 | Submission Report on Vulnerable Investors: Elder Abuse, Financial Exploitation, Undue Influence and Diminished Mental Capacity Read More
Oct 26, 2017 | Submission Letter to OBSI Joint Regulators Committee re Use of “Internal Ombudsman” by Registered Firms When Responding to Investment Complaints Read More
Oct 17, 2017 | Submission IOSCO’s Consultation Report – Public Comment on Regulatory Reporting and Public Transparency in the Secondary Corporate Bond Markets Read More
Oct 02, 2017 | Submission Review of the Federal Financial Sector Framework – Second Consultation Paper Read More
Sep 08, 2017 | Submission CSA Multilateral Notice and Request for Comment – Proposed Amendments to National Instrument 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution Read More
Aug 03, 2017 | Submission Canadian Securities Administrators (“CSA”) Notice and Request for Comment on Proposed National Instrument 91-102 Prohibition of Binary Options and Related Proposed Companion Policy Read More
Aug 03, 2017 | Submission CSA Consultation Paper 51-404 – Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers Read More
Jun 09, 2017 | Submission Canadian Securities Administrators (“CSA”) Consultation on the Option of Discontinuing Embedded Commissions – Consultation Paper 81-408 Read More
Jun 09, 2017 | Submission Consumer Protection and Oversight in Relation to Schedule I Banks Read More
May 24, 2017 | Submission Ontario Securities Commission Notice 11-777 – Statement of Priorities Read More