Submissions

FCAC Consultation on a Voluntary Banking Code of Conduct

Request for comment – Re: the Department of Finance’s proposed changes to the legislation governing the management of unclaimed balances

CSE Notice 2018-010 and Request for Comment – Public Interest Rule Amendment to Policy 6 Distributions

CSA’s Proposed Amendments to NI 81-105 Mutual Fund Sales Practices

CSA Notice and Request for Comment – Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms)

CSA Notice and Request for Comment on Reforms to Enhance the Client-Registrant Relationship

FAIR Canada Comments on Draft Prospectus and Related Registration Exemptions for the Cooperative Capital Markets Regulatory System

Request for Comment on Proposed MFDA Sanction Guidelines

MFDA Discussion Paper on Expanding Cost Reporting

MFDA – Proposed Continuing Education Requirements

CSA Staff Notice 61-303 and Request for Comment – Soliciting Dealer Arrangements

CSA Notice and Request for Comment on Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations relating to Syndicated Mortgages and Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions

OBSI Terms of Reference Renewal Project: Public Consultation

Ontario Securities Commission Notice 11-780 – Statement of Priorities

Request for Comment – Enforcement – Alternative Forms of Disciplinary Action Proposed at IIROC

Proposed MFDA Staff Notice on MFDA Member Intermediary Arrangements

FAIR Canada Comments on Regulation of Financial Planners

British Columbia Securities Commission Notice 2018/01 – Consulting on the Securities Law Framework for Fintech Regulation

Republication of Proposed IIROC Dealer Member Plain Language Rule Book – IIROC Notice 18-0014

Continuing Education Rules – Proposed Amendments

FAIR Canada, PIAC, CARP and Kenmar Associates Urge Response from JRC to Independent Reviewer’s Recommendations

Re: OBSI Independent Evaluator’s Report, 2016

Financial and Consumer Services Commission Consultation Paper November 2017: Improving Detection, Prevention and Response to Senior Financial Abuse in New Brunswick

Canadian Securities Administrators (“CSA”) Request for Comment on Consultation Paper 52-404 Approach to Director and Audit Committee Member Independence

Reviews of Retail Sales Practices at Canada’s Banks

Aequitas NEO Exchange Listing Manual Amendments for Emerging Market Issuers (“EMIs”)

Competition Bureau Review of Technology-led Innovation and Emerging Services in the Canadian Financial Services Sector – Draft Report

Report on Vulnerable Investors: Elder Abuse, Financial Exploitation, Undue Influence and Diminished Mental Capacity

Letter to OBSI Joint Regulators Committee re Use of “Internal Ombudsman” by Registered Firms When Responding to Investment Complaints

IOSCO’s Consultation Report – Public Comment on Regulatory Reporting and Public Transparency in the Secondary Corporate Bond Markets  

Review of the Federal Financial Sector Framework – Second Consultation Paper

CSA Multilateral Notice and Request for Comment – Proposed Amendments to National Instrument 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution

Canadian Securities Administrators (“CSA”) Notice and Request for Comment on Proposed National Instrument 91-102 Prohibition of Binary Options and Related Proposed Companion Policy

CSA Consultation Paper 51-404 – Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers  

Canadian Securities Administrators (“CSA”) Consultation on the Option of Discontinuing Embedded Commissions – Consultation Paper 81-408

Consumer Protection and Oversight in Relation to Schedule I Banks

Ontario Securities Commission Notice 11-777 – Statement of Priorities

What About the Investors? White Paper on the Proposed Cooperative Capital Markets Regulator

Reports of Improper Sales Practices at Canada’s Banks

Financial Services Regulatory Authority of Ontario Act, 2016

FAIR Canada Comments on MFDA Misleading Business Titles Prohibited Rule

FAIR Canada Comments on CSA Alternative Funds Proposal

FAIR Canada comments on IIROC’s Proposed Guidance for Discount Brokerages/OEO Firms

FAIR Canada Comments on Proposed Rule and Guidance on Best Execution

FAIR Canada Comments on the Review of the Federal Financial Sector Legislative and Regulatory Framework

FAIR Canada Comments on CSA Notice – Proposed Amendments to National Instrument 31-103

FAIR Canada Comments on Proposed Best Interest Standard and Proposed Targeted Reforms

FAIR Canada opposes eliminating prospectus or reports for CFDs, Foreign Exchange Contracts and Binary Options

FAIR Canada Comments on Capital Markets Stability Act

FAIR Canada Comments on National Instrument 23-101 Trading Rules

FAIR Canada Comments on the Preliminary Policy Recommendations of the Expert Committee

FAIR Canada’s Comments on FSCO’s Draft 2016 Statement of Priorities

FAIR Canada Comments on OSC’s Notice 11-774 – Statement of Priorities 2017

FAIR Canada Comments on MFDA Consultation Regarding Cost Reporting for Investment Funds

FAIR Canada Comments on CSA Risk Classification Methodology

FAIR Canada Comments on Independent Evaluation of OBSI

FAIR Canada Comments on OSC Draft Whistleblower Policy

FAIR Canada Comments on the Cooperative Capital Markets Regulatory System

Start-Up Business Exemption Proposed for Alberta and Nunavut

FAIR Canada Comments on Expert Panel’s Recommendations to Restructure FSCO

FAIR Canada comments on IIROC’s re-published proposals for membership disclosure

MFDA Consultation on the use of the Title “Financial Planner”

CSA Staff Notice and Request for Comment 21-315 Next Steps in Regulation and Transparency of the Fixed Income Market

CSA Notice and Request for Comment on Proposed Amendments relating to Reports of Exempt Distribution

Consultation on the Report on the Application of the Act respecting the distribution of financial products and services (the “Act”)

Consultation regarding Financial Advisory and Financial Planning Policy Alternatives

Development of MFDA Continuing Education Requirements

Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement)

CSA Notice and Request for Comment – Mandating a Summary Disclosure Document for Exchange-Traded Mutual Funds and Its Delivery

Request for Comment on Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) regarding Outside Business Activities including Financial Planning

IIROC Notice 15-0145 – Request for Comments on Strategic Priorities

FAIR Canada Comments on Review of Mandate of FSCO

Request for Comment on Proposed Amendments to the Offering Memorandum Exemption

FAIR Canada’s Comments on Proposed Take-Over Bid Rules

FAIR Canada’s Comments on the Proposed Investment Dealer Exemption

FAIR Canada’s comments on the OSC’s Notice 11-771 – Statement of Priorities for 2016

FAIR Canada’s Comments on the OSC’s Proposed Whistleblower Program

FAIR Canada’s Comments on the Proposed Amendments to the Rights Offering Exemption

IIAC Request to Delay CRM2

IIROC re Requirement to Disclose Membership in IIROC as a Dealer Member

FAIR Canada Comments on Cooperative Capital Markets Regulatory System Legislation

IIROC re CRM Phase 2 Republication

IIROC Proficiency Assurance Consultation

CSA Retention of Risk for Asset Backed Securities

MFDA re CRM2 Proposed Amendments

CSA Venture Issuer Disclosure

A Canadian Strategy to Combat Investment Fraud

FCAC Financial Literacy Strategy for Seniors

OSC Proposed Prospectus Exemptions

CSA Offering Memorandum Exemption

CSA Crowdfunding and Start-Up Exemptions

BCSC Start-Up Crowdfunding

OSC 2015 Draft Priorities

CSA Proposed Amendments to AI & MA Exemptions

CSA Implementation of Stage 3 of Point of Sale Disclosure for Mutual Funds

CSA Guidance on Dispute Resolution Services – Client Disclosure

CBCA Consultation – Shareholder Rights

CSA Securitized Products Exemption

IIROC CRM2 Proposals

CSA Risk Classification Methodology Proposal