Submissions

Request for comment – Re: the Department of Finance’s proposed changes to the legislation governing the management of unclaimed balances

CSE Notice 2018-010 and Request for Comment – Public Interest Rule Amendment to Policy 6 Distributions

CSA’s Proposed Amendments to NI 81-105 Mutual Fund Sales Practices

CSA Notice and Request for Comment – Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms)

CSA Notice and Request for Comment on Reforms to Enhance the Client-Registrant Relationship

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”)