Aug 23, 2013

CSA Modernization of Investment Fund Product Regulation

Aug 12, 2013

OBSI’s Proposed Changes to its Terms of Reference

Jun 3, 2013

OSC Statement of Priorities

Apr 26, 2013

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

Apr 12, 2013

BCSC NI 45-106 New Exemption

Apr 12, 2013

CSA Mutual Fund Fees

Mar 26, 2013

Checking Registration Essential but Consumers Need a Simplified Comprehensive National Database

Mar 19, 2013

AMF Offering Memorandum Exemption and Equity Crowdfunding

Mar 9, 2013

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

Mar 8, 2013

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

Feb 28, 2013

TSX Consultation Paper on Emerging Market Issuers

Feb 22, 2013

CSA Consultation Paper 33-403 Statutory Best Interest Standard

Feb 20, 2013

Mutilateral CSA Notice 45-311

Jan 31, 2013

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

Jan 25, 2013

Dispute Resolution Service

Jan 18, 2013

IIROC Outsourcing Arrangements

Dec 12, 2012

CSA Venture Issuer Governance and Disclosure Requirements

Nov 12, 2012

FSCO Unsuitable Recommendations to Borrow to Invest

Nov 12, 2012

IIROC Compensation Structures for Retail Accounts

Nov 12, 2012

TSX Proposed Amendments re Listing Appeals

Nov 5, 2012

TSX amendments to Part IV of the Company Manual

Oct 15, 2012

IIROC Proposed Guidance on Certain Manipulative and Deceptive Trading Practices

Oct 12, 2012

Unclaimed Intangible Property Program (Ontario AG)

Oct 11, 2012

IIROC Restricted Dealer Member Proposal

Oct 4, 2012

IIROC Guidance on Borrowing for Investment Purposes

Sep 14, 2012

CSA Cost Disclosure and Performance Reporting

Sep 6, 2012

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

Aug 13, 2012

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

Jul 9, 2012

OBSI suitability and loss assessment consultation

Jun 22, 2012

Second Notice and Request for Comment re Maple Group Acquisition Corporation

Jun 21, 2012

Consolidation of IIROC Enforcement Procedural Examination and Approval Rules

Jun 6, 2012

FSCO’s Draft Statement of Priorities

Jun 4, 2012

Proposed Recognition Order for Maple Group

Jun 1, 2012

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

May 30, 2012

Transparency of Short Selling and Failed Trades

May 18, 2012

OSC draft 2012-2013 Statement of Priorities

May 18, 2012

The Investor Advisory Panel – Input Sought

May 3, 2012

IIROC Dealer Member Margin Rules

Apr 30, 2012

Incorporation of Individual Representatives Project

Mar 9, 2012

AMF Compensation Consultation

Feb 29, 2012

CSA Review of Minimum Amount and Accredited Investor Exemptions‏

Feb 2, 2012

Requirement to Disclose Membership in IIROC as Dealer Member

Feb 2, 2012

MFDA By-law No.1 Amendments

Jan 24, 2012

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

Dec 20, 2011

OSC Proposed Enforcement Initiatives

Nov 15, 2011

FAIR Canada Urges Mandatory Participation in OBSI by the Banking Industry

Nov 10, 2011

CSA – Stage 2 of Point of Sale Initiative

Nov 7, 2011

Maple Proposal

Oct 27, 2011

Ongoing Governance and Disclosure Requirements for Venture Issuers

Oct 26, 2011

Dark Liquidity

Oct 26, 2011

Regulators Need to Act on Leveraged Investing

Oct 11, 2011

Proposed Amendments to Part IV of the TSX Company Manual

Oct 6, 2011

MFDA Leverage Suitability

Sep 23, 2011

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

Sep 23, 2011

Cost Disclosure & Performance Reporting

Aug 31, 2011

Proposed Rules and Rule Amendments Relating to Securitized Products

Jul 25, 2011

Phase 2 Investment Fund Proposals

Jul 25, 2011

OBSI Consultation Loss Compensation

Jul 11, 2011

Guidance Note – Outside Business Activities

Jun 29, 2011

TMX/LSE Proposed Transaction

Jun 27, 2011

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

Jun 6, 2011

FSCO Draft Statement of Priorities

Jun 1, 2011

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

May 27, 2011

Alpha Exchange Application

May 13, 2011

Proposed Changes to the CFP Code of Ethics

Apr 27, 2011

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

Apr 8, 2011

IIROC Guidance on Advertising and Client Communications

Mar 8, 2011

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

Feb 25, 2011

Proposed Incorporation of Individual Representatives of Registered Dealers and Advisers

Feb 18, 2011

REPORT – A Decade of Financial Scandals

Jan 25, 2011

Limitation on IIROC Enforcement Proceedings

Jan 14, 2011

OSC Investor Advisory Panel (“IAP”) Seeks Input

Jan 7, 2011

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

Nov 29, 2010

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

Nov 29, 2010

Proposed Revisions to OBSI Terms of Reference

Oct 8, 2010

MFDA Proposed Fees and Charges Rule Amendments

Oct 8, 2010

IIROC Proposed Award Limit Increase and Costs Awards

Sep 30, 2010

CSA Proposed Amendments to Registration and Requirements

Sep 24, 2010

CSA Amendments to Fund Regulation and Disclosure

Sep 17, 2010

CSA Proposed Venture Issuer Regulation Amendments

Sep 7, 2010

CSA Proposed Amendments re Beneficial Owners and Continuous Disclosure

Aug 27, 2010

IIROC Proposed Personal Financial Dealing and Outside Business Activities Proposals

Jul 23, 2010

Managing Conflicts of Interest in TSX Listed Company Regulation

Jul 7, 2010

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

May 3, 2010

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

Apr 30, 2010

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

Mar 16, 2010

Review of IIROC Arbitration Program

Mar 11, 2010

Money Market Funds – Zero Returns

Feb 11, 2010

OSC Draft Statement of Priorities for 2010-11

Dec 1, 2009

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

Nov 2, 2009

Contracts for Difference: Gambling for Retail Investors

Oct 17, 2009

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

Aug 6, 2009

MFDA Task Force on Governance Issues Report

Jul 23, 2009

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

Jul 23, 2009

MFDA Proposed Amendments to Relationship Disclosure and Performance Reporting

Jul 16, 2009

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

Jul 13, 2009

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

May 14, 2009

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

May 4, 2009

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

Feb 23, 2009

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