Join E-Newsletter
 | 
Français

Submissions

Category
Date
Sort By
Sort Order
Results per page
Jun
27
2018

MFDA – Proposed Continuing Education Requirements
Jun
13
2018

CSA Staff Notice 61-303 and Request for Comment – Soliciting Dealer Arrangements
Jun
13
2018

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
Jun
04
2018

OBSI Terms of Reference Renewal Project: Public Consultation
May
29
2018

Ontario Securities Commission Notice 11-780 – Statement of Priorities
May
24
2018

Request for Comment – Enforcement – Alternative Forms of Disciplinary Action Proposed at IIROC
May
08
2018

Proposed MFDA Staff Notice on MFDA Member Intermediary Arrangements
Apr
17
2018

FAIR Canada Comments on Regulation of Financial Planners
Apr
04
2018

British Columbia Securities Commission Notice 2018/01 – Consulting on the Securities Law Framework for Fintech Regulation
Mar
05
2018

Republication of Proposed IIROC Dealer Member Plain Language Rule Book – IIROC Notice 18-0014
Feb
28
2018

Continuing Education Rules – Proposed Amendments
Feb
26
2018

FAIR Canada, PIAC, CARP and Kenmar Associates Urge Response from JRC to Independent Reviewer’s Recommendations
Feb
21
2018

Re: OBSI Independent Evaluator’s Report, 2016
Feb
06
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
08
2017

Reviews of Retail Sales Practices at Canada’s Banks
Dec
07
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
02
2017

Review of the Federal Financial Sector Framework – Second Consultation Paper
Sep
08
2017

CSA Multilateral Notice and Request for Comment – Proposed Amendments to National Instrument 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution
Aug
03
2017

Canadian Securities Administrators (“CSA”) Notice and Request for Comment on Proposed National Instrument 91-102 Prohibition of Binary Options and Related Proposed Companion Policy
Aug
03
2017

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