Dec 28, 2022
IIROC Competency Profiles for Supervisors, Traders, Associate Portfolio Managers and Portfolio Managers
Dec 22, 2022
OSC Notice 11-797 – Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2024
Nov 11, 2022
FSRA Proposed FY2023-2024 Statement of Priorities
Nov 7, 2022
Discussion Paper on Upfront Compensation in Segregated Funds
Sep 23, 2022
Corporate Governance Consultation: Improving Diversity and Facilitating Electronic Communications in Federally Regulated Financial Institutions
Sep 21, 2022
The Financial Planners and Financial Advisors Regulations – Notice of Proposed Changes and Request for Further Comment
Jul 28, 2022
CSA and CCIR Joint Notice and Request for Comment – Total Cost Reporting for Investment Funds and Segregated Funds
Jul 7, 2022
CSA Notice and Request for Comment – Proposed Amendments and Proposed Changes to Implement an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers
Jun 28, 2022
CSA Consultation on the Application for Recognition of New Self-Regulatory Organization
Apr 14, 2022
Proposed Amendments Respecting Reporting, Internal Investigation and Client Complaint Requirements
Mar 31, 2022
Consultation Paper – Independent Review Committee on Standard Setting in Canada
Mar 3, 2022
Public Comment on IOSCO Consultation Report on Retail Distribution and Digitalisation
Feb 18, 2022
Consultation Draft – Capital Markets Act
Feb 14, 2022
FSRA – Complaints Resolution: Policy Framework and Best Practices (No. GR0013INF)
Jan 31, 2022
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
Jan 21, 2022
CSA Request for Comment 11-343 – Proposal to Establish a CSA Investor Advisory Panel
Jan 13, 2022
CSA Request for Comment – Proposed NI 51-107 Disclosure of Climate-Related Matters
Dec 20, 2021
AMF – Complaint processing and dispute settlement draft regulation
Dec 8, 2021
Consultation on the updated proposed Financial Professionals Title Protection Application Guidance and proposed Supervision Guidance
Nov 30, 2021
Consultation on Terms of Reference for Financial Services Regulatory Authority’s Consumer Advisory Panel
Nov 5, 2021
CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions to introduce the Listed Issuer Financing Exemption
Oct 29, 2021
Consultation on Proposed Financial Services Regulatory Authority of Ontario’s 2022-2023 Statement of Priorities
Oct 25, 2021
Financial and Consumer Services Commission of New Brunswick (FCNB) – Title Protection 2021
Oct 14, 2021
Consultation on Strengthening Canada’s External Complaint Handling System in Banking
Oct 1, 2021
CSA Position Paper 25-404 – New Self-Regulatory Organization Framework