Submissions

Letter to the OSC Re: Covid-19 Relief for Vulnerable Retail Investors Invested in Group Plan RESPs

Submission To CSA On The Proposed Scope Of The Review Of Self-Regulatory Organizations

COVID 19 Financial Relief for Retail Investors:

Submission to the OSC and Request for Comment – Access Equals Delivery

FAIR Canada welcomes the CSA ban on embedded commissions for mutual funds

FAIR Canada Follow Up Letter re: IIROC Proposals for Minor Contraventions Program and Early Resolutions Offers Policy

IIROC Dealers Using Client Agreements that violate IIROC Rules and Securities Act requirements ~ IIROC Notice 19-0177

A National Securities Portal Database is a Practical Alternative to a National Regulator

OSC Regulatory Burden Reduction Comments

Financial Consumer Affairs Authority of Saskatchewan Financial Planners Consultation

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

Mutual Fund Dealers Association of Canada Proposed Amendments to MFDA Rule 2.3.1(b) (Discretionary Trading)

IIROC Notice 19-0076 Minor Contravention Program and Early Resolution Offers

Statement on SNC Part II: Clarification of FAIR Canada Position

Letter from Mr. Louis Morisett of May 29, 2019 RE: Exemptive relief granted by Canadian securities regulators in connection with ASDP

FAIR Canada Letter of May 10, 2019 RE: Exemptive relief granted by Canadian securities regulators in connection with ASDP

Letter from Mr. Louis Morisett of May 8, 2019 RE: Exemptive relief granted by Canadian securities regulators in connection with ASDP

Exemptive relief granted by Canadian securities regulators in connection with automatic stock disposition plans (“ASDP”)

Response to request for comment on the FCAC draft code of conduct for delivery of banking products and services to seniors

Joint CSA/IIROC Consultation Paper on Internalization in the Canadian Equity Market

Joint CSA/IIROC Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms

CSA Second Notice and Request for Comment 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

Stephen Jarislowsky On SNC Governance and DPA

FAIR Canada Statement on SNC Part I

Proposed FY 2019-20 FSRA Priorities and Budget Consumer Roundtable

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