Aug 7, 2018

FAIR Canada Comments on Draft Prospectus and Related Registration Exemptions for the Cooperative Capital Markets Regulatory System

Jul 25, 2018

Request for Comment on Proposed MFDA Sanction Guidelines

Jul 13, 2018

MFDA Discussion Paper on Expanding Cost Reporting

Jun 27, 2018

MFDA – Proposed Continuing Education Requirements

Jun 13, 2018

CSA Staff Notice 61-303 and Request for Comment – Soliciting Dealer Arrangements

Jun 13, 2018

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

Jun 4, 2018

OBSI Terms of Reference Renewal Project: Public Consultation

May 29, 2018

Ontario Securities Commission Notice 11-780 – Statement of Priorities

May 24, 2018

Request for Comment – Enforcement – Alternative Forms of Disciplinary Action Proposed at IIROC

May 8, 2018

Proposed MFDA Staff Notice on MFDA Member Intermediary Arrangements

Apr 17, 2018

FAIR Canada Comments on Regulation of Financial Planners

Apr 4, 2018

British Columbia Securities Commission Notice 2018/01 – Consulting on the Securities Law Framework for Fintech Regulation

Mar 5, 2018

Republication of Proposed IIROC Dealer Member Plain Language Rule Book – IIROC Notice 18-0014

Feb 28, 2018

Continuing Education Rules – Proposed Amendments

Feb 26, 2018

FAIR Canada, PIAC, CARP and Kenmar Associates Urge Response from JRC to Independent Reviewer’s Recommendations

Feb 21, 2018

Re: OBSI Independent Evaluator’s Report, 2016

Feb 6, 2018

Financial and Consumer Services Commission Consultation Paper November 2017: Improving Detection, Prevention and Response to Senior Financial Abuse in New Brunswick

Jan 29, 2018

Canadian Securities Administrators (“CSA”) Request for Comment on Consultation Paper 52-404 Approach to Director and Audit Committee Member Independence

Dec 8, 2017

Reviews of Retail Sales Practices at Canada’s Banks

Dec 7, 2017

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

Nov 20, 2017

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

Nov 15, 2017

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

Oct 26, 2017

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

Oct 17, 2017

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

Oct 2, 2017

Review of the Federal Financial Sector Framework – Second Consultation Paper