Submissions

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

Aequitas NEO Exchange Listing Manual Amendments for Emerging Market Issuers (“EMIs”)

Competition Bureau Review of Technology-led Innovation and Emerging Services in the Canadian Financial Services Sector – Draft Report

Report on Vulnerable Investors: Elder Abuse, Financial Exploitation, Undue Influence and Diminished Mental Capacity

Letter to OBSI Joint Regulators Committee re Use of “Internal Ombudsman” by Registered Firms When Responding to Investment Complaints

IOSCO’s Consultation Report – Public Comment on Regulatory Reporting and Public Transparency in the Secondary Corporate Bond Markets  

Review of the Federal Financial Sector Framework – Second Consultation Paper