Submissions

CSA Modernization of Investment Fund Product Regulation

OBSI’s Proposed Changes to its Terms of Reference

OSC Statement of Priorities

Letter to CSA re Misleading Use of Business Titles and Financial Designations

BCSC NI 45-106 New Exemption

CSA Mutual Fund Fees

Checking Registration Essential but Consumers Need a Simplified Comprehensive National Database

AMF Offering Memorandum Exemption and Equity Crowdfunding

IIROC Request for Comments re Use of Business Titles and Financial Designations

OSC Exempt Market Review: OSC Staff Consultation Paper 45-710 Considerations for New Capital Raising Prospectus Exemptions

TSX Consultation Paper on Emerging Market Issuers

CSA Consultation Paper 33-403 Statutory Best Interest Standard

Mutilateral CSA Notice 45-311

Proposed Revocation of BC Instrument 32-513 (the Northwestern Exemption) and BC Instrument 32-517 (the MIE exemption)

Dispute Resolution Service

IIROC Outsourcing Arrangements

CSA Venture Issuer Governance and Disclosure Requirements

FSCO Unsuitable Recommendations to Borrow to Invest

IIROC Compensation Structures for Retail Accounts

TSX Proposed Amendments re Listing Appeals

TSX amendments to Part IV of the Company Manual

IIROC Proposed Guidance on Certain Manipulative and Deceptive Trading Practices

Unclaimed Intangible Property Program (Ontario AG)

IIROC Restricted Dealer Member Proposal

IIROC Guidance on Borrowing for Investment Purposes

CSA Cost Disclosure and Performance Reporting

CSA Implementation of Stage 2 of Point of Sale Disclosure for Mutual Funds

Federal Ministry of Finance Approved External Complaints Bodies (Banks and Authorized Foreign Banks) Regulations

OBSI suitability and loss assessment consultation

Second Notice and Request for Comment re Maple Group Acquisition Corporation

Consolidation of IIROC Enforcement Procedural Examination and Approval Rules

FSCO’s Draft Statement of Priorities

Proposed Recognition Order for Maple Group

Consultation on the Framework for Reforming the Board of Directors of OBSI

Transparency of Short Selling and Failed Trades

OSC draft 2012-2013 Statement of Priorities

The Investor Advisory Panel – Input Sought

IIROC Dealer Member Margin Rules

Incorporation of Individual Representatives Project

AMF Compensation Consultation

CSA Review of Minimum Amount and Accredited Investor Exemptions‏

Requirement to Disclose Membership in IIROC as Dealer Member

MFDA By-law No.1 Amendments

CSA Second Request for Comment on the Modernization of Scholarship Plan Regulation Phase 1: A New Prospectus Form for Scholarship Plans

OSC Proposed Enforcement Initiatives

FAIR Canada Urges Mandatory Participation in OBSI by the Banking Industry

CSA – Stage 2 of Point of Sale Initiative

Maple Proposal

Ongoing Governance and Disclosure Requirements for Venture Issuers

Dark Liquidity

Regulators Need to Act on Leveraged Investing

Proposed Amendments to Part IV of the TSX Company Manual

MFDA Leverage Suitability

FAIR Canada letter re Price Differences between Canadian and U.S. Mutual Funds

Cost Disclosure & Performance Reporting

Proposed Rules and Rule Amendments Relating to Securitized Products

Phase 2 Investment Fund Proposals

OBSI Consultation Loss Compensation

Guidance Note – Outside Business Activities

TMX/LSE Proposed Transaction

Investment Risk Classification Methodology Disclosure Requirements of National Instrument 81-101 Mutual Fund Prospectus Disclosure

FSCO Draft Statement of Priorities

FAIR Canada Supports Mandatory OBSI Participation for IIROC and MFDA Member Firms

Alpha Exchange Application

Proposed Changes to the CFP Code of Ethics

Ontario Securities Commission Notice 11-765 – 2011-2012 Statement of Priorities (Draft for Comment)

IIROC Guidance on Advertising and Client Communications

IIROC Proposals to Implement the Core Principles of the Client Relationship Model

Proposed Incorporation of Individual Representatives of Registered Dealers and Advisers

REPORT – A Decade of Financial Scandals

Limitation on IIROC Enforcement Proceedings

OSC Investor Advisory Panel (“IAP”) Seeks Input

IIROC Request for Comment Plain language rule re-write project – Dealing with clients, Proposed Rules 3400-3900

Letter to Ontario Minister of Finance: Securing Our Retirement Future: Consulting with Ontarians on Canada’s Retirement Income System

Proposed Revisions to OBSI Terms of Reference

MFDA Proposed Fees and Charges Rule Amendments

IIROC Proposed Award Limit Increase and Costs Awards

CSA Proposed Amendments to Registration and Requirements

CSA Amendments to Fund Regulation and Disclosure

CSA Proposed Venture Issuer Regulation Amendments

CSA Proposed Amendments re Beneficial Owners and Continuous Disclosure

IIROC Proposed Personal Financial Dealing and Outside Business Activities Proposals

Managing Conflicts of Interest in TSX Listed Company Regulation

CSA Modernization of Scholarship Plan Regulation Phase 1 – A New Prospectus Form for Scholarship Plans

Requirements and Best Practices for Distribution of Non Arm’s-Length Investment Products

The Task Force on Financial Literacy’s “Leveraging Excellence” Consultation Document

Review of IIROC Arbitration Program

Money Market Funds – Zero Returns

OSC Draft Statement of Priorities for 2010-11

IIROC Draft Guidance Note: “Know Your Client and Suitability Guidelines”

Contracts for Difference: Gambling for Retail Investors

CSA Proposed Amendments to the Sale of Mutual Funds to Retail Investors

MFDA Task Force on Governance Issues Report

CSA, IIROC and MFDA Proposals Re. the Client Relationship Model

MFDA Proposed Amendments to Relationship Disclosure and Performance Reporting

IIROC Proposed Over-the-Counter Securities Fair Pricing Rule and Confirmation Disclosure Requirements

The Strange Case of Leveraged and Inverse ETFs, Part 2: A Few Steps Forward; Much Remains to be Done

Investor Alert on the Dangers of Leveraged and Inverse ETFs: Heads You Lose, Tails You Lose: The Strange Case of Leveraged ETFs

Toronto Stock Exchange Proposed Changes to Part VI of TSX Company Manual

Standing Committee on Government Agencies – Review of the Ontario Securities Commission: A Matter of Investor Confidence