Oct 18, 2019
IIROC Dealers Using Client Agreements that violate IIROC Rules and Securities Act requirements ~ IIROC Notice 19-0177
Sep 30, 2019
A National Securities Portal Database is a Practical Alternative to a National Regulator
Sep 30, 2019
OSC Regulatory Burden Reduction Comments
Sep 9, 2019
Financial Consumer Affairs Authority of Saskatchewan Financial Planners Consultation
Aug 7, 2019
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
Aug 6, 2019
Mutual Fund Dealers Association of Canada Proposed Amendments to MFDA Rule 2.3.1(b) (Discretionary Trading)
Jul 4, 2019
IIROC Notice 19-0076 Minor Contravention Program and Early Resolution Offers
Jun 27, 2019
Statement on SNC Part II: Clarification of FAIR Canada Position
Jun 6, 2019
Letter from Mr. Louis Morisett of May 29, 2019 RE: Exemptive relief granted by Canadian securities regulators in connection with ASDP
Jun 6, 2019
FAIR Canada Letter of May 10, 2019 RE: Exemptive relief granted by Canadian securities regulators in connection with ASDP
Jun 6, 2019
Letter from Mr. Louis Morisett of May 8, 2019 RE: Exemptive relief granted by Canadian securities regulators in connection with ASDP
Jun 6, 2019
Exemptive relief granted by Canadian securities regulators in connection with automatic stock disposition plans (“ASDP”)
May 31, 2019
Response to request for comment on the FCAC draft code of conduct for delivery of banking products and services to seniors
May 13, 2019
Joint CSA/IIROC Consultation Paper on Internalization in the Canadian Equity Market
May 13, 2019
Joint CSA/IIROC Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms
May 8, 2019
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
Apr 19, 2019
Stephen Jarislowsky On SNC Governance and DPA
Apr 15, 2019
FAIR Canada Statement on SNC Part I
Feb 7, 2019
Proposed FY 2019-20 FSRA Priorities and Budget Consumer Roundtable
Feb 6, 2019
FCAC Consultation on a Voluntary Banking Code of Conduct
Jan 29, 2019
Request for comment – Re: the Department of Finance’s proposed changes to the legislation governing the management of unclaimed balances
Jan 4, 2019
CSE Notice 2018-010 and Request for Comment – Public Interest Rule Amendment to Policy 6 Distributions
Dec 13, 2018
CSA’s Proposed Amendments to NI 81-105 Mutual Fund Sales Practices
Oct 19, 2018
CSA Notice and Request for Comment – Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms)
Aug 30, 2018
CSA Notice and Request for Comment on Reforms to Enhance the Client-Registrant Relationship