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