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