Aug 06, 2019 | Submission Mutual Fund Dealers Association of Canada Proposed Amendments to MFDA Rule 2.3.1(b) (Discretionary Trading) Read More
Jul 04, 2019 | Submission IIROC Notice 19-0076 Minor Contravention Program and Early Resolution Offers Read More
Jun 06, 2019 | Submission Letter from Mr. Louis Morisett of May 29, 2019 RE: Exemptive relief granted by Canadian securities regulators in connection with ASDP Read More
Jun 06, 2019 | Submission FAIR Canada Letter of May 10, 2019 RE: Exemptive relief granted by Canadian securities regulators in connection with ASDP Read More
Jun 06, 2019 | Submission Letter from Mr. Louis Morisett of May 8, 2019 RE: Exemptive relief granted by Canadian securities regulators in connection with ASDP Read More
Jun 06, 2019 | Submission Exemptive relief granted by Canadian securities regulators in connection with automatic stock disposition plans (“ASDP”) Read More
May 31, 2019 | Submission Response to request for comment on the FCAC draft code of conduct for delivery of banking products and services to seniors Read More
May 13, 2019 | Submission Joint CSA/IIROC Consultation Paper on Internalization in the Canadian Equity Market Read More
May 13, 2019 | Submission Joint CSA/IIROC Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms Read More