• Regulatory Notice (pdf - 21 KB)This link will open in a new windowUpdated on April 27, 2017
• Notice and Request for Comment (pdf - 59 KB)This link will open in a new windowUpdated on April 27, 2017
• Regulation to amend Regulation 81-102 (pdf - 15 KB)This link will open in a new windowUpdated on April 27, 2017T+2
• Regulation to amend Regulation 81-104 respecting Commodity Pools (pdf - 13 KB)This link will open in a new windowUpdated on April 27, 2017T+2

CSA Consultation Paper 52-403 (pdf - 82 KB)This link will open in a new windowUpdated on April 24, 2017"CSA Consultation Paper, 52-403, Auditor Oversight, Issues, Foreign Jurisdictions"

• Consultation Paper (pdf - 1 MB)This link will open in a new windowUpdated on January 10, 2017OPTION OF DISCONTINUING EMBEDDED COMMISSIONS
• Backgrounder (pdf - 134 KB)This link will open in a new windowUpdated on January 10, 2017Consultation on the Option of Discontinuing Embedded Commissions
• Consultation session This link will open in a new window – May 12, 2017 (Available in French only)
• Report on principal findings of Autorité des marchés financiers focus groups with individual investors (pdf - 149 KB)This link will open in a new windowUpdated on July 18, 2018Report on principal findings of Autorité des marchés financiers focus groups with individual investors

Comments received (comments are published in their original language)

• Advocis (pdf - 921 KB)This link will open in a new windowUpdated on June 14, 2017 (Greg Pollock and Wade A. Baldwin)
• AGF Investments Inc. (pdf - 4 MB)This link will open in a new windowUpdated on June 13, 2017 (Blake C. Goldring)
• Alistair Harrigan (pdf - 16 KB)This link will open in a new windowUpdated on June 6, 2017
• Alternative Investment Management Association ‘AIMA’ (pdf - 244 KB)This link will open in a new windowUpdated on June 14, 2017 (Michael Burns, Ian Pember, Jennifer A. Wainwright, Stacy Hammett, Ronald M. Kosonic)
• Andrew Teasdale (pdf - 218 KB)This link will open in a new windowUpdated on June 14, 2017
• APCSF (pdf - 573 KB)This link will open in a new windowUpdated on June 13, 2017 (Association Professionnelle des Conseillers en Services Financiers) (Flavio Vani, Michael Luciani, Bertrand Larocque, Nacera Zergane)
• Assante Wealth Management and Hein Financial Group (pdf - 294 KB)This link will open in a new windowUpdated on June 5, 2017 (Brian Hein)
• ATB Investor Services (pdf - 148 KB)This link will open in a new windowUpdated on June 15, 2017 (Brett Kimak)
• Attiscorp Wealth Management (pdf - 125 KB)This link will open in a new windowUpdated on June 9, 2017 (Joel Attis) 
• Banque Nationale (pdf - 4 MB)This link will open in a new windowUpdated on June 14, 2017 (Martin Gagnon)
• Barbara Nash (pdf - 20 KB)This link will open in a new windowUpdated on June 12, 2017
• BlackRock Asset Management Canada Limited (pdf - 212 KB)This link will open in a new windowUpdated on June 14, 2017 (Margaret Gunawan and Warren Collier)
• Borden Ladner Gervais (pdf - 429 KB)This link will open in a new windowUpdated on June 14, 2017 (Investment Management and Securities Practice Group Lawyers)
• Bridgehouse Asset Managers (pdf - 161 KB)This link will open in a new windowUpdated on June 14, 2017 (Carol Lynde)
• Canadian Advocacy Council for Canadian CFA Institute Societies (pdf - 401 KB)This link will open in a new windowUpdated on June 14, 2017 (Michael Thom)
• Canadian Association of Independent Life Brokerage Agencies ‘CAILBA’ (pdf - 357 KB)This link will open in a new windowUpdated on June 14, 2017 (Earleen Moulton and Eric Wachtel)
• Carp (pdf - 520 KB)This link will open in a new windowUpdated on June 6, 2017 (Wanda Morris & Marissa Semkiw)
• Capital Group (pdf - 328 KB)This link will open in a new windowUpdated on June 9, 2017 (Mark Tiffin)
• CIBC (pdf - 2 MB)This link will open in a new windowUpdated on June 13, 2017 (Steve Geist)
• CI Financial Corp. (pdf - 5 MB)This link will open in a new windowUpdated on June 14, 2017 (Sheila A. Murray and Steven J. Donald)
• Citibank Canada Investment Funds Limited (pdf - 4 MB)This link will open in a new windowUpdated on June 13, 2017 (Robert J. McGuire)
• Claude Sanche (pdf - 1 MB)This link will open in a new windowUpdated on June 2, 2017
• Conseil des professionnels en services financiers (pdf - 10 MB)This link will open in a new windowUpdated on June 15, 2017
• Conseil des représentants du Réseau SFL (pdf - 5 MB)This link will open in a new windowUpdated on June 12, 2017 (Daniel Binette et Gilles Garon)
• Co-Operators Group (pdf - 591 KB)This link will open in a new windowUpdated on June 13, 2017 (Rick McCombie and Kevin Daniel)
• Credential (pdf - 2 MB)This link will open in a new windowUpdated on June 14, 2017 (Yasmin Lalani)
• Dan Petryk (pdf - 286 KB)This link will open in a new windowUpdated on June 12, 2017
• Daniel Enayatzadeh (pdf - 35 KB)This link will open in a new windowUpdated on June 9, 2017
• Daniela Rempel (pdf - 26 KB)This link will open in a new windowUpdated on June 6, 2017
• David Mcgruer (pdf - 207 KB)This link will open in a new windowUpdated on June 13, 2017
• David Rupert (pdf - 20 KB)This link will open in a new windowUpdated on June 12, 2017
• Debbie Hartzman (pdf - 55 KB)This link will open in a new windowUpdated on June 6, 2017
• Debra McFadden (pdf - 228 KB)This link will open in a new windowUpdated on June 13, 2017
• Dentons (pdf - 496 KB)This link will open in a new windowUpdated on June 9, 2017 (Pierre Lortie)
• Dietz Financial (pdf - 30 KB)This link will open in a new windowUpdated on June 12, 2017Comment received by Chris Dietz (Dietz Financial/Peak Investment Services) on February 16, 2017 RE: CSA Consultation Paper 81-408 - Consultation on the Option of Discontinuing Embedded Commissions (Chris Dietz)
• Doheny Securities Limited (pdf - 399 KB)This link will open in a new windowUpdated on June 14, 2017 (Brian Gertenstein)
• Donna Kagan (pdf - 11 KB)This link will open in a new windowUpdated on June 6, 2017
• D.W. Good Investment Co. Ltd. (pdf - 213 KB)This link will open in a new windowUpdated on June 14, 2017 (Dan Good)
• Edward Jones (pdf - 2 MB)This link will open in a new windowUpdated on June 13, 2017 (Wayne Bolton)
• Emerging Manager’s Board (pdf - 3 MB)This link will open in a new windowUpdated on June 16, 2017 (Conseil des gestionnaires en émergence)    
• Federation of Mutual Fund Dealers (pdf - 2 MB)This link will open in a new windowUpdated on June 14, 2017 (Sandra L. Kegie)
• Fidelity Investments (pdf - 1,003 KB)This link will open in a new windowUpdated on June 14, 2017 (Robert S. Strickland)
• Financial Decisions Inc.  (pdf - 38 KB)This link will open in a new windowUpdated on June 15, 2017(Linda Cartier)
• Financial Planning Standrds Council ‘FPSC’ (pdf - 82 KB)This link will open in a new windowUpdated on June 14, 2017
• Foundation for Advancement of Investor Rights ‘FAIR’ (pdf - 941 KB)This link will open in a new windowUpdated on June 14, 2017 (Marian Passmore)
• François Premont et Nicole Gravel (pdf - 95 KB)This link will open in a new windowUpdated on June 13, 2017
• Franklin Templeton Investments Corp. (pdf - 491 KB)This link will open in a new windowUpdated on June 14, 2017 (Brad Beuttenmiller)
• FundNet Systems (pdf - 200 KB)This link will open in a new windowUpdated on June 14, 2017 (Jonathan Hunt)
• George Lewis (pdf - 174 KB)This link will open in a new windowUpdated on June 14, 2017
• Glenn Szlagowski (pdf - 393 KB)This link will open in a new windowUpdated on June 13, 2017
• Gordon T. Clark (pdf - 281 KB)This link will open in a new windowUpdated on June 9, 2017 
• Greg Mussenden (pdf - 262 KB)This link will open in a new windowUpdated on June 14, 2017
• Groupe Cloutier Investissements (pdf - 664 KB)This link will open in a new windowUpdated on June 14, 2017 (François Bruneau)
• Guy Roy (pdf - 76 KB)This link will open in a new windowUpdated on June 14, 2017
• Harold Lockerby (pdf - 414 KB)This link will open in a new windowUpdated on June 6, 2017
• Harvey S. Naglie (pdf - 376 KB)This link will open in a new windowUpdated on June 6, 2017
• Heather Zacharias (pdf - 137 KB)This link will open in a new windowUpdated on June 13, 2017
• Hélène Aubin (pdf - 182 KB)This link will open in a new windowUpdated on June 13, 2017
• Highview Financial Group (pdf - 1,022 KB)This link will open in a new windowUpdated on June 14, 2017 (Dan Hallett)
• HollisWealth / HollisWealth Advisory Services Inc. (pdf - 327 KB)This link will open in a new windowUpdated on June 14, 2017 (Jeffrey Rockel)
• Horizons ETFs Management (Canada) Inc. (pdf - 461 KB)This link will open in a new windowUpdated on June 14, 2017 (Greg Sainsbury)
• HSBC Bank (pdf - 218 KB)This link will open in a new windowUpdated on June 14, 2017 (Larry Tomei)
• IA Financial Group (pdf - 506 KB)This link will open in a new windowUpdated on June 14, 2017 (Carl Mustos)
• ICI Global (pdf - 853 KB)This link will open in a new windowUpdated on June 14, 2017 (Dan Waters)
• Independent Financial Brokers of Canada (pdf - 256 KB)This link will open in a new windowUpdated on June 14, 2017 (Nancy Allan and Scott Findlay)
• Invesco (pdf - 500 KB)This link will open in a new windowUpdated on June 14, 2017 (Eric Adelson)
• Investment Funds Institute of Canada (pdf - 3 MB)This link will open in a new windowUpdated on June 13, 2017 (Paul C. Bourque)
• Investment Industry Association of Canada ‘IIAC’ (pdf - 1 MB)This link will open in a new windowUpdated on June 13, 2017 (Michelle Alexander)
• Investment Planning Counsel (pdf - 2 MB)This link will open in a new windowUpdated on June 9, 2017 (John G. Novachis)
• Investor Advisory Panel (pdf - 219 KB)This link will open in a new windowUpdated on June 14, 2017 (Ursula Menke)
• Investors Group (pdf - 1 MB)This link will open in a new windowUpdated on June 13, 2017 (Jeffrey R. Carney)
• InvestorCOM (pdf - 280 KB)This link will open in a new windowUpdated on June 14, 2017 (Anthony Boright)
• J.-F. Labbé et A. Brassard (pdf - 253 KB)This link will open in a new windowUpdated on June 12, 2017
• Jo and Theo Georgiou (pdf - 10 KB)This link will open in a new windowUpdated on June 6, 2017
• John J. De Goey (pdf - 503 KB)This link will open in a new windowUpdated on June 13, 2017
• Jonathan Hunt (pdf - 40 KB)This link will open in a new windowUpdated on June 6, 2017
• JR Tobias (pdf - 306 KB)This link will open in a new windowUpdated on June 6, 2017
• Julia Lipovetsky (pdf - 375 KB)This link will open in a new windowUpdated on June 9, 2017
• Julie Roy (pdf - 2 MB)This link will open in a new windowUpdated on June 12, 2017
• Julie Roy (pdf - 382 KB)This link will open in a new windowUpdated on June 5, 2017 (2)
• Kay Crawford (pdf - 101 KB)This link will open in a new windowUpdated on June 6, 2017
• Keith R. Odegard (pdf - 289 KB)This link will open in a new windowUpdated on June 13, 2017 
• Kenmar Associates (pdf - 2 MB)This link will open in a new windowUpdated on June 6, 2017 (Ken Kivenko)
• Kevin Hayes (pdf - 56 KB)This link will open in a new windowUpdated on June 6, 2017
• Larry Elford (pdf - 149 KB)This link will open in a new windowUpdated on June 9, 2017
• Lorne Radke (pdf - 525 KB)This link will open in a new windowUpdated on June 6, 2017
• Luc Paiement (pdf - 922 KB)This link will open in a new windowUpdated on June 6, 2017
• Mackenzie Financial Corporation (pdf - 1 MB)This link will open in a new windowUpdated on June 13, 2017 (Barry S. McInerney)
• Manulife (pdf - 305 KB)This link will open in a new windowUpdated on June 13, 2017 (Bernard Letendre and Rick Annaert)
• Mark Schneider (pdf - 445 KB)This link will open in a new windowUpdated on June 9, 2017
• Mary Boom (pdf - 23 KB)This link will open in a new windowUpdated on June 6, 2017
• Marc-Étienne L. Salvail (pdf - 258 KB)This link will open in a new windowUpdated on June 14, 2017
• Matt Morris (pdf - 575 KB)This link will open in a new windowUpdated on June 9, 2017
• MBC Law (pdf - 405 KB)This link will open in a new windowUpdated on June 9, 2017 (Harold Geller)
• Mérici Services Financiers inc. (pdf - 1 MB)This link will open in a new windowUpdated on June 14, 2017 (Michel Boutin and Maxime Gauthier)
• Mica Capital (pdf - 3 MB)This link will open in a new windowUpdated on June 12, 2017 (Gino Sebastian Savard et Yvan Morin)
• Mildred Jagdeo (pdf - 24 KB)This link will open in a new windowUpdated on June 6, 2017
• Morningstar Canada (pdf - 192 KB)This link will open in a new windowUpdated on June 9, 2017 (Christopher Davis et Aron Szapiro)
• Mouvement Desjardins (pdf - 502 KB)This link will open in a new windowUpdated on June 14, 2017
• National Exempt Market Association ‘NEMA’ (pdf - 296 KB)This link will open in a new windowUpdated on June 13, 2017 (Cora Pettipas and Craig Skauge)
• Nick Carroll (pdf - 14 KB)This link will open in a new windowUpdated on June 6, 2017
• Oak Tree Financial Services (pdf - 26 KB)This link will open in a new windowUpdated on June 12, 2017 (Trent Stanley)
• O’Morrow Financial Services (pdf - 24 KB)This link will open in a new windowUpdated on June 6, 2017 (Brad O’Morrow)
• Pacific Spirit Investment Management (pdf - 309 KB)This link will open in a new windowUpdated on June 9, 2017 (John S. Clark)
• Patrice Doucet (pdf - 186 KB)This link will open in a new windowUpdated on June 2, 2017
• Patrick J. Carricato (pdf - 195 KB)This link will open in a new windowUpdated on June 13, 2017
• Peak (pdf - 176 KB)This link will open in a new windowUpdated on June 14, 2017 (Jean Carrier)
• Peter Whitehouse (pdf - 546 KB)This link will open in a new windowUpdated on June 12, 2017
• Portfolio Management Association of Canada ‘PMAC’ (pdf - 137 KB)This link will open in a new windowUpdated on June 14, 2017 (Katie Walmsley and Magaret Gunawan)
• Portfolio Strategies (pdf - 251 KB)This link will open in a new windowUpdated on June 13, 2017 (Mark S. Kent)
• Primerica (pdf - 949 KB)This link will open in a new windowUpdated on June 14, 2017 (John A. Adams)
• Quadrus Investment Services Ltd. (pdf - 816 KB)This link will open in a new windowUpdated on June 13, 2017 (Michael Campbell)
• RBC  (pdf - 178 KB)This link will open in a new windowUpdated on June 14, 2017(Kirk Dudtschak, Doug Coulter, Dave Agnew, Rosalyn Kent, Mark Neill)
• Reid & Associates (pdf - 139 KB)This link will open in a new windowUpdated on June 6, 2017Comment received by Rob Reid (Reid & Associates Financial Solutions) on March 20, 2017 RE: CSA Consultation Paper 81-408 - Consultation on the Option of Discontinuing Embedded Commissions (Rob Reid)
• Rick Reynolds (pdf - 16 KB)This link will open in a new windowUpdated on June 6, 2017
• Rob Bauml (pdf - 352 KB)This link will open in a new windowUpdated on June 14, 2017
• Robert Bernard (pdf - 16 KB)This link will open in a new windowUpdated on June 13, 2017
• Robert Goldberg (pdf - 358 KB)This link will open in a new windowUpdated on June 14, 2017
• Sentry Investments (pdf - 230 KB)This link will open in a new windowUpdated on June 14, 2017 (Edna A. Chu)     
• Services Financiers Eric Gosselin (pdf - 2 MB)This link will open in a new windowUpdated on June 12, 2017 (Eric F. Gosselin)
• Shamez Kassam (pdf - 315 KB)This link will open in a new windowUpdated on June 9, 2017
• Stan Penner (pdf - 47 KB)This link will open in a new windowUpdated on June 6, 2017
• Starving Advisor (pdf - 46 KB)This link will open in a new windowUpdated on June 6, 2017
• Steve Kunzel (pdf - 60 KB)This link will open in a new windowUpdated on June 6, 2017
• Sun Life Financial (pdf - 589 KB)This link will open in a new windowUpdated on June 14, 2017 (Nick DiRenzo)
• Sun Life Global Investments (pdf - 287 KB)This link will open in a new windowUpdated on June 13, 2017 (Rick Headrick)
• Taylor Hewson (pdf - 160 KB)This link will open in a new windowUpdated on June 6, 2017
• Thierman Financial (pdf - 493 KB)This link will open in a new windowUpdated on June 9, 2017 (Shannen D. Fisher)
• Thomas B.K. Martin (pdf - 753 KB)This link will open in a new windowUpdated on June 14, 2017
• Tim Weichel (pdf - 43 KB)This link will open in a new windowUpdated on June 6, 2017
• Troy Iwanik (pdf - 345 KB)This link will open in a new windowUpdated on June 14, 2017
• Trusted Wealth Professionals (pdf - 4 MB)This link will open in a new windowUpdated on June 14, 2017 (Gerry Gabon)
• Tyler J. Dickie (pdf - 47 KB)This link will open in a new windowUpdated on June 6, 2017
• Vanguard Investments Canada Inc. (pdf - 566 KB)This link will open in a new windowUpdated on June 14, 2017 (Atul Tiwari)
• Victor Prasad (pdf - 18 KB)This link will open in a new windowUpdated on June 6, 2017
• Waterloo Advisor (pdf - 71 KB)This link will open in a new windowUpdated on June 6, 2017
• Wealth & Risk Management Solutions (pdf - 62 KB)This link will open in a new windowUpdated on June 6, 2017 (Craig Cornell)
• Wealthsimple Inc. (pdf - 60 KB)This link will open in a new windowUpdated on June 14, 2017 (Michael Katchen)
• Worldsource Wealth Management (pdf - 263 KB)This link will open in a new windowUpdated on June 14, 2017
• Yves David (pdf - 175 KB)This link will open in a new windowUpdated on June 2, 2017
• Yves Lavigne (pdf - 4 MB)This link will open in a new windowUpdated on June 2, 2017

• Request for comment Notice (pdf - 24 KB)This link will open in a new windowUpdated on November 24, 2016
• Regulation respecting Real Estate Prospectus and Registration Exemption (pdf - 96 KB)This link will open in a new windowUpdated on April 3, 2017"Regulation, real estate, prospectus, registration, exemptions"s (pdf - 96 KB)This link will open in a new windowUpdated on April 3, 2017"Regulation, real estate, prospectus, registration, exemptions"
• Policy Statement to the Regulation respecting Real Estate Prospectus and Registration Exemptions (pdf - 67 KB)This link will open in a new windowUpdated on November 24, 2016"Policy, Statement, Regulation, real estate, prospectus, registration, exemptions"

• Avis réglementaire (pdf - 19 KB)This link will open in a new windowUpdated on September 21, 2016
• Avis de consultation des ACVM (pdf - 340 KB)This link will open in a new windowUpdated on September 22, 2016
• Règlement modifiant le Règlement 81-102 sur les fonds d'investissement (pdf - 67 KB)This link will open in a new windowUpdated on September 21, 2016
  • Version soulignée du Règlement 81-102 sur les fonds d'investissement (pdf - 578 KB)This link will open in a new windowUpdated on September 26, 2016Organismes de placement collectif
• Modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement (pdf - 23 KB)This link will open in a new windowUpdated on September 23, 2016
• Règlement abrogeant le Règlement 81-104 sur les fonds marché à terme (pdf - 14 KB)This link will open in a new windowUpdated on September 21, 2016"Règlement, abrogeant, Règlement, 81-104,fonds, marché, terme"
• Règlement modifiant le Règlement 81-101 sur le régime de prospectus des organismes de placement collectif (pdf - 30 KB)This link will open in a new windowUpdated on September 21, 2016"Règlement, modifant, 81-101, régime, prospectus, organismes, placement, collectif"
• Règlement 81-107 sur le comité d’examen indépendant des fonds d’investissement (pdf - 14 KB)This link will open in a new windowUpdated on September 21, 2016"Règlement, modifiant, 81-107, comité, examen, indépendant, fonds"
• Modification de l’Instruction générale relative au Règlement 81-107 sur le comité d’examen indépendant des fonds d’investissement (pdf - 14 KB)This link will open in a new windowUpdated on September 21, 2016"Modification, Instruction, générale, Règlement, 81-107, comité, examen, indépendant, fonds, investissement"
• Règlement 41-101 sur les obligations générales relatives au prospectus; (pdf - 24 KB)This link will open in a new windowUpdated on September 21, 2016"Règlement, modifant, 41-101, obligations, générales, prospectus"
• Règlement 81-106 sur l’information continue des fonds d’investissement (pdf - 20 KB)This link will open in a new windowUpdated on September 21, 2016"Règlement, modifiant, 81-106, information, continue, fonds, investissement"

Comments received (comments are published in their original language)

• AGF (pdf - 207 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Mark Adams)
• AIMA (pdf - 9 MB)This link will open in a new windowUpdated on January 9, 2017 (Michael Burns)
• BlackRock (pdf - 230 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Margaret Gunawan)
• BMO Capital Markets (pdf - 346 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier"(Kevin Gopaul and Lino Morra)
• Brompton Funds Limited (pdf - 324 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Mark A. Caranci et Craig T. Kikuchi)
• The Canadian Advocacy Council for Canadian CFA Institute Societies (pdf - 170 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Michael Thom)
• CIBC (pdf - 75 KB)This link will open in a new windowUpdated on January 9, 2017(Geneviève Ouellet)
• The Canadian Securities Institure (pdf - 99 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Marc Flyn)
• Eastcost Fund Management (pdf - 370 KB)This link will open in a new windowUpdated on January 9, 2017(Mike MacBain, Sinan Akdeniz et Michael D’Costa)
• Invesco (pdf - 1 MB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Eric Adelson)
• Investors Group (pdf - 701 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Todd Asman)
• Lawrence Park Asset Management (pdf - 4 MB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (John Yong et Andrew Torres)
• Lysander Funds Limited (pdf - 341 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier"(Raj Vijh)
• Mackenzie Financial Corporation (pdf - 415 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Michael Schnitman)
• Manulife Asset Management (pdf - 1 MB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Bernard Letendre)
• Morgan Meighen & Associates (pdf - 3 MB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Frank Fuernkranz)
• Picton Mahoney Asset Management (pdf - 164 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (David Picton et Andrew Ma)
• Portfolio Management Association of Canada (Katie Walmsley et Margaret Gunawan)
• RBC Capital Markets (pdf - 122 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Andrew Thornhill)
• RBC Global Asset Management (pdf - 656 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Daniel E.Chornous)
• Vision Capital Corporation (pdf - 373 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Jeffrey Olin)
• Wildeboer Dellelce LLP (pdf - 2 MB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Ronald Schwass, Geoffrey Cher et Nick Gray)
• Stikeman Elliott - Financial Products & Services (pdf - 277 KB)This link will open in a new windowUpdated on January 9, 2017 (Junaid Subhan)
• McMillan LLP (pdf - 603 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Margaret McNee)
• McCarthy Tétrault (pdf - 37 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Andrew R. Armstrong)
• GrowthWorks Capital Ltd (pdf - 48 KB)This link will open in a new windowUpdated on January 11, 2017 (Jill W. Donaldson)
• The Investment Funds Institute of Canada (pdf - 1,013 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Ralf Hensel)
• First Asset (pdf - 307 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Z. Edward Akkawi)
• Borden Ladner Gervais (pdf - 106 KB)This link will open in a new windowUpdated on January 9, 2017 (Rebecca Cowdery, Lynn McGrade, Carol Derk, Michael Burns, Donna Spagnolo, Kathryn Fuller)
• Blake Cassels Graydon (pdf - 122 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Jeffrey Glass)Stikeman Elliott (Darin Renton)
• Aviva Investors (pdf - 5 MB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Sean Brumble)
• Arrow Capital Management inc. (pdf - 666 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Robert Parsons et Mark Kennedy)
• Hedge Fund Standards Board (pdf - 734 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Thomas Deinet)
• FAIR (pdf - 429 KB)This link will open in a new windowUpdated on January 10, 2017(Marian Passmore)
• TDSecurities Inc. (pdf - 3 MB)This link will open in a new windowUpdated on January 16, 2017 (Steve Banquier)
• AUMLaw Professional Corporation (pdf - 474 KB)This link will open in a new windowUpdated on January 16, 201700069155-5 /font=6 (Kimberly Poster)
• RPInvestment Advisor (pdf - 703 KB)This link will open in a new windowUpdated on January 16, 2017 (Richard Pilosof et Mike Quinn)
• Tim McElvaine (pdf - 25 KB)This link will open in a new windowUpdated on January 16, 2017
• LightwaterPartners Ltd (pdf - 82 KB)This link will open in a new windowUpdated on January 16, 2017(Richard Pilosof et Jerome Hass)
• KenmarAssociates (pdf - 116 KB)This link will open in a new windowUpdated on January 16, 2017 (Richard Pilosof et Ken Kivenko)
• SunLife Global Investments Canada (pdf - 3 MB)This link will open in a new windowUpdated on January 16, 2017 (Neil Blue)

• Regulatory Notice (pdf - 17 KB)This link will open in a new windowUpdated on September 21, 2016
• CSA Notice and Request for Comment (pdf - 281 KB)This link will open in a new windowUpdated on September 22, 2016
• Draft Regulation to repeal Regulation 81-104 respecting Commodity Pools (pdf - 14 KB)This link will open in a new windowUpdated on September 21, 2016"Regulation, repeal, 81-104, Commodity, Pools"
• Draft Regulation to amend Regulation 81-102 respecting Investment Funds (pdf - 63 KB)This link will open in a new windowUpdated on September 21, 2016"Regulation, amend, Regulation, 81-102, Investment, funds"
  • Administrative blacklined version of Regulation 81-102 respecting Investment Funds (pdf - 531 KB)This link will open in a new windowUpdated on September 26, 2016Mutual Funds
• Amendments to Policy Statement to Regulation 81-102 respecting Investment Funds (pdf - 25 KB)This link will open in a new windowUpdated on September 21, 2016"Amendments, Policy, Statement, regulation, 81-102, Investment, funds"
• Draft Regulation to amend Regulation 81-101 respecting Mutual Fund Prospectus Disclosure (pdf - 27 KB)This link will open in a new windowUpdated on September 21, 2016"Regulation, Amend, 81-101, Mutual, Fund, Prospectus, Disclosure"
• Regulation 81-107 respecting Independent Review Committee for Investment Funds (pdf - 14 KB)This link will open in a new windowUpdated on September 21, 2016"Regulation, amend, 81-107, Independent, Review, Committee, Investment, Funds"
• Amendments to Policy Statement to Regulation 81-107 respecting Independent Review Committee for Investment Funds (pdf - 9 KB)This link will open in a new windowUpdated on September 21, 2016
• Regulation 41-101 respecting General Prospectus Requirements (pdf - 19 KB)This link will open in a new windowUpdated on September 21, 2016"Regulation, amend, 41-101, general, prospectus, requirements"
• Regulation 81-106 respecting Investment Fund Continuous Disclosure (pdf - 19 KB)This link will open in a new windowUpdated on September 21, 2016"Regulation, amend, 81-106, Investment, Fund, Continuous, Disclosure"

• Regulatory Notice (pdf - 23 KB)This link will open in a new windowUpdated on August 17, 2016"Regulation, amend, 24-101, Institutional, Trade, Matching, Settlement"
• CSA Notice and Request for Comment (pdf - 93 KB)This link will open in a new windowUpdated on October 8, 2020Notice and Request for Comments:
• CSA Consultation Paper 24-402 (pdf - 881 KB)This link will open in a new windowUpdated on August 17, 2016"CSA, Consultation, 24-402, Policy, Considerations, Enhancing, Settlement, Discipline, T+2 Settlement Cycle Environment"
• Regulation to amend Regulation 24-101 respecting Institutional Trade Matching and Settlement (pdf - 71 KB)This link will open in a new windowUpdated on August 17, 2016"Regulation, amend, 24-101, Institutional, Trade, Matching, Settlement"
• Amendments to Policy Statement to Regulation 24-101 respecting Institutional Trade Matching and Settlement (pdf - 37 KB)This link will open in a new windowUpdated on August 17, 2016"Amendments, Policy Statement, Regulation, 24-101, Institutional, Trade, Matching, Settlement"

Comments received (comments are published int their original language):

• Barbara Amsden (pdf - 672 KB)This link will open in a new windowUpdated on December 6, 2016Cycle de règlement, j+3, j+2, Appariement, Fournisseur de service d’appariement, LCP/RCP, Livraison contre paiement, réception contre paiement, Settlement cycle, T+3, T+2, Matching, Matching service utility, DVP / RVP, Delivery against payment, receipt agains payment
• Canadian Capital Markets Association (pdf - 577 KB)This link will open in a new windowUpdated on November 7, 2016Cycle de règlement, j+3, j+2, Appariement, Fournisseur de service d’appariement, LCP/RCP, Livraison contre paiement, réception contre paiement, Settlement cycle, T+3, T+2, Matching, Matching service utility, DVP / RVP, Delivery against payment, receipt agains payment - Keith Evans
• CIBC World Markets Inc. (pdf - 672 KB)This link will open in a new windowUpdated on December 6, 2016Cycle de règlement, j+3, j+2, Appariement, Fournisseur de service d’appariement, LCP/RCP, Livraison contre paiement, réception contre paiement, Settlement cycle, T+3, T+2, Matching, Matching service utility, DVP / RVP, Delivery against payment, receipt agains payment - David Gillespie
• Investment Industry Association of Cananda (pdf - 612 KB)This link will open in a new windowUpdated on November 16, 2016Cycle de règlement, j+3, j+2, Appariement, Fournisseur de service d’appariement, LCP/RCP, Livraison contre paiement, réception contre paiement, Settlement cycle, T+3, T+2, Matching, Matching service utility, DVP / RVP, Delivery against payment, receipt agains payment (IIAC) - Jack Rando
• Omgeo Canada Matching Ltd - Julian A.C. Stapleford
  • Proposed Amendments to NI 24-101 Institutional Trade Matching and Settlement (PDF - 360 KB)This link will open in a new windowUpdated on December 6, 2016Cycle de règlement, j+3, j+2, Appariement, Fournisseur de service d’appariement, LCP/RCP, Livraison contre paiement, réception contre paiement, Settlement cycle, T+3, T+2, Matching, Matching service utility, DVP / RVP, Delivery against payment, receipt agains payment
  • Consultation Paper 24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environnement (PDF - 362 KB)This link will open in a new windowUpdated on December 6, 2016Cycle de règlement, j+3, j+2, Appariement, Fournisseur de service d’appariement, LCP/RCP, Livraison contre paiement, réception contre paiement, Settlement cycle, T+3, T+2, Matching, Matching service utility, DVP / RVP, Delivery against payment, receipt agains payment
• RBC Dominion Securities Inc. (pdf - 201 KB)This link will open in a new windowUpdated on December 6, 2016 - Jason O'Born

• Regulatory Notice (pdf - 19 KB)This link will open in a new windowUpdated on July 7, 2016
• CSA Notice and Request for Comment (pdf - 103 KB)This link will open in a new windowUpdated on July 7, 2016"CSA, Notice, Request, Comment, 31-103"
• Regulation to amend Regulation 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 106 KB)This link will open in a new windowUpdated on July 7, 2016
• Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 658 KB)This link will open in a new windowUpdated on July 7, 2016
• Regulation to amend Regulation 33-109 respecting registration information (pdf - 14 KB)This link will open in a new windowUpdated on July 7, 2016
• Regulation to amend the Derivatives Regulation (pdf - 8 KB)This link will open in a new windowUpdated on July 7, 2016

Comments received (comments are published in their original language)

• Advocis (pdf - 979 KB)This link will open in a new windowUpdated on October 25, 2016 (Greg Pollock, Wade A. Baldwin)
• Borden Ladner Gervais - BLG (pdf - 339 KB)This link will open in a new windowUpdated on October 25, 2016 (Rebecca Cowdery, Prema Thiele, Jason Brooks)
• Boyle + Co. (pdf - 373 KB)This link will open in a new windowUpdated on October 25, 2016 (Jim Boyle)
• The Canadian Advocacy Council for Canandian CFA Institure Societies - CFA (PDF - 213 KB)This link will open in a new windowUpdated on October 25, 2016 (Michael Thom)
• Canadian Investor Protection Fund - CIPF (pdf - 102 KB)This link will open in a new windowUpdated on October 25, 2016 (Rozanne Reszel)
• Capital Group/Capital International Asset Management - CIAM (pdf - 195 KB)This link will open in a new windowUpdated on October 25, 2016 (Mark Tiffin)
• Federation of Mutual Fund Dealers - FMFD (pdf - 213 KB)This link will open in a new windowUpdated on October 25, 2016 (Sandra L. Kegie)
• Healthcare of Ontario Pension Plan - HOOPP (pdf - 383 KB)This link will open in a new windowUpdated on October 25, 2016 (David Long)
• The Investment Funds Institute of Canada - IFIC (pdf - 132 KB)This link will open in a new windowUpdated on October 27, 2016 (Ralf Hensel)
• IGM Financial - IGM (pdf - 753 KB)This link will open in a new windowUpdated on October 25, 2016 (Jeffrey R. Carney)
• Investment Industry Association of Canada - IIAC (pdf - 440 KB)This link will open in a new windowUpdated on October 25, 2016 (Naomi Solomon)
• Invesco (pdf - 1 MB)This link will open in a new windowUpdated on October 27, 2016 (Julianna Ahn)
• Pacific Spirit Investment Management Inc. (pdf - 309 KB)This link will open in a new windowUpdated on October 27, 2016 (John S. Clark)
• PearTree (pdf - 368 KB)This link will open in a new windowUpdated on October 25, 2016 (Lisa G. Davis)
• Portfolio Management Association of Canada - PMAC (pdf - 142 KB)This link will open in a new windowUpdated on October 25, 2016 (Katie Walmsley, Margaret Gunawan)
• On behalf of several entities within RBC  (pdf - 46 KB)This link will open in a new windowUpdated on October 26, 2016(Nick Cardinale, Kelley Hoffer, Kevin Bresler, Martha Rafuse, Larry Neilsen)
• On behalf of certain members of the Financial Products & Services practice group at Stikeman Elliott LLP (pdf - 145 KB)This link will open in a new windowUpdated on October 26, 2016 (Junaid Subhan on her own behalf and on behalf of others)
• Veronica Armstrong Law Corporation - VALC (pdf - 206 KB)This link will open in a new windowUpdated on October 25, 2016 (Veronica Armstrong)

Comments received (comments are published in their original language)

• Acadia Financial Services (pdf - 120 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Joanne Hébert)
• Acumen Capital Finance Partners Limited (pdf - 3 MB)This link will open in a new windowUpdated on October 19, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Govind Achyuthan)
• Advocis (pdf - 594 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Greg Pollock and Wade A. Baldwin)
• AGF Investments Inc. (pdf - 268 KB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" – AGF (Mark Adams)
• Alan Blanes for Harold C. Blanes (pdf - 351 KB)This link will open in a new windowUpdated on October 20, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations"
• Alternative Investment Management Association (pdf - 1 MB)This link will open in a new windowUpdated on October 21, 2016 - AIMA (Michael A. Burns)
• Altus Securities Inc. (pdf - 64 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Will Lockett)
• Andrew Teasdale (pdf - 701 KB)This link will open in a new windowUpdated on October 20, 2016
• Arrow Capital Management Inc. (pdf - 49 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Robert Parsons and Mark Kennedy)
• Arthur H. Ross (pdf - 467 KB)This link will open in a new windowUpdated on October 14, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations"
• Assante Wealth Management Ltd (pdf - 352 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Steven J. Donald)
• Association of Canadian Compliance Professionals (pdf - 226 KB)This link will open in a new windowUpdated on October 19, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - ACCP (Manny DaSilva)
• Association of Canadian Pension Management (pdf - 253 KB)This link will open in a new windowUpdated on October 19, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - ACPM (Bryan Hocking)
• Association Professionnelle des conseillers en Services Financiers (pdf - 12 MB)This link will open in a new windowUpdated on October 19, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement" -APCSF (Flavio Vani et Bertrand Larocque)
• Barbara Amsden (pdf - 906 KB)This link will open in a new windowUpdated on October 19, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations"
• BlackRock inc. (pdf - 235 KB)This link will open in a new windowUpdated on October 19, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Margaret Gunawan)
• BMO Financial Group (pdf - 170 KB)This link will open in a new windowUpdated on October 18, 2016 (Gilles G. Ouellette)
• Borden Ladner Gervais LLP /Investment Management and Securities Litigation Practice groups (pdf - 392 KB)This link will open in a new windowUpdated on October 18, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations"
• Boyle & Co. (pdf - 106 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" LLP (Jim Boyle)
• Bridgehouse Asset Managers (pdf - 1 MB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Carol Lynde)
• Canadian Foundation for Advancement of Investor Rights (pdf - 2 MB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - FAIR Canada (Marian Passmore)
• Canadian Independent Asset Manager (pdf - 122 KB)This link will open in a new windowUpdated on October 18, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations"
• Canadian Western Financial (pdf - 14 MB)This link will open in a new windowUpdated on October 19, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations"- CWB (Richard Bergeron)
• Chambre de la sécurité financière (pdf - 680 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement" - CSF (Marie Elaine Farley)
• Capital International Asset Management Canada, Inc. (pdf - 275 KB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - CIAM (Mark Tiffin)
• Chappuis Halder & Co. (pdf - 1 MB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" – CH&Co.
• Charles K. Langford inc. (pdf - 1 MB)This link will open in a new windowUpdated on October 14, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussements" (Charles K. Langford)
• CIBC (pdf - 2 MB)This link will open in a new windowUpdated on October 18, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Steve Geist)
• Consumers Council of Canada (pdf - 610 KB)This link will open in a new windowUpdated on October 19, 2016
• Cranson Capital Securities Inc. (pdf - 1 MB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - CCS (Devon Cranson)
• Credential Financial inc. (pdf - 7 MB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Yasmin Lalani)
• C.S.T. Consultants Inc. (pdf - 106 KB)This link will open in a new windowUpdated on October 20, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (CSTC) - (Peter Lewis)
• Debra A. McFadden (pdf - 213 KB)This link will open in a new windowUpdated on October 18, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations"
• Edward J. Waitzer and Keith Ambachtsheer (pdf - 4 MB)This link will open in a new windowUpdated on October 14, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement
• Faculté of law / Université Laval (pdf - 614 KB)This link will open in a new windowUpdated on October 20, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Raymonde Crête et Cinthia Duclos)
• Federation of Mutual Fund Dealers (pdf - 246 KB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" – FMFD (Sandra L. Kegie)
• Fidelity Investments Canada (pdf - 948 KB)This link will open in a new windowUpdated on October 18, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Robert Strickland)
• Finance d'OR (pdf - 287 KB)This link will open in a new windowUpdated on October 20, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement" (Jean-François Robert)
• Financial Planning Standards Council (pdf - 155 KB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations"- FPSC
• Fisguard Asset Management Corporation (pdf - 538 KB)This link will open in a new windowUpdated on October 18, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - FAMC (Wayne Strandlund - Joel Rosenberg - Dawn Paniz)
• Franklin Templeton Investments Corp. (pdf - 642 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - FTI (Brad Beuttenmiller)
• Gestion FÉRIQUE (pdf - 384 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement" - FÉRIQUE (Fabienne Lacoste)
• Gluskin Sheff + Associates Inc. (pdf - 205 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Amy Aubin and Tom MacMillan)
• Groupe Cloutier Investissements Inc. (pdf - 613 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement" (François Bruneau et Nathalie Girard)
• Groupe financier PEAK (pdf - 191 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement" - PEAK (Jean Carrier)
• Highstreet Asset Management Inc. (pdf - 415 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Linda McCormick)
• HighView Financial Group (pdf - 259 KB)This link will open in a new windowUpdated on October 20, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Dan Hallett)
• iA Financial Group (pdf - 3 MB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Normand Pépin)
• Independent Financial Brokers of Canada (pdf - 350 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - IFB (Nancy Allan)
• Invesco Canada Ltd. (pdf - 433 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Eric Adelson)
• InvestorCOM Inc. (pdf - 305 KB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations"
• Investment Industry Association of Canada (pdf - 3 MB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" – IIAC (Michelle Alexander and Naomi Solomon)
• Investors Group Inc. (pdf - 889 KB)This link will open in a new windowUpdated on October 18, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations"(Jeffrey R. Carney)
• Junaid K. Subhan (pdf - 112 KB)This link will open in a new windowUpdated on October 21, 2016 for A. d'Anglejan-Chatillon and J. Elliott and R. K. Grewal and D. R. Renton and N. Badeen and P. Burd
• Kenmar Associates (pdf - 1 MB)This link will open in a new windowUpdated on October 14, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Ken Kivenko)
• Knowledge First Financial Inc. (pdf - 602 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Darrel Bartlett)
• Linda Fuerst and Jeremy Devereux (pdf - 209 KB)This link will open in a new windowUpdated on October 19, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations"
• Lise Brazeau (pdf - 191 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement"
• Longbow Capital Inc. (pdf - 426 KB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Wiley Auch)
• Mackenzie Financial Corporation (pdf - 765 KB)This link will open in a new windowUpdated on October 18, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Barry S. McInerney)
• Mandeville Holdings Inc. (pdf - 402 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Nadine Milne and Alison Fletcher and Julie A. Clarke)
• Manulife Securities (pdf - 163 KB)This link will open in a new windowUpdated on October 19, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Rick Annaert)
• Mawer Investment Management Ltd. (pdf - 165 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Michael Mezei and Geoffrey Ritchie)
• McBride Bond Christian LLP and Harold Geller (pdf - 3 MB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" – MBC (Monica Kaur)
• Mérici Services Financiers inc. (pdf - 798 KB)This link will open in a new windowUpdated on October 19, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement" (Michel Boutin et Maxime Gauthier)
• MICA Capital inc. (pdf - 273 KB)This link will open in a new windowUpdated on October 19, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement" (Gino Sebastian Savard et Yvan Morin)
• Mouvement des caisses Desjardins (pdf - 4 MB)This link will open in a new windowUpdated on October 18, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement" – MCD (Yvan-Pierre Grimard)
• National Bank of Canada Wealth Management (pdf - 450 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - NBCWM (Martin Gagnon)
• National Exempt Market Association – NEMA (pdf - 274 KB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Craig Skauge and Cora Pettipas)
• Ontario Mortgage Investment Companies Association (pdf - 539 KB)This link will open in a new windowUpdated on October 20, 2016Ontario Mortgage Investment Companies Association - ONMICA - ONMICA
• OSC Investor Advisory Panel (pdf - 251 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - IAP
• Nicola Wealth Management (pdf - 756 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Dannielle H. MacDonald)
• Peter Whitehouse (pdf - 504 KB)This link will open in a new windowUpdated on October 14, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations"
• Portfolio Management Association of Canada – PMAC / Industry, Regulation and Tax Committee (pdf - 249 KB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Katie Walmsley and Margaret Gunawan)
• Portfolio Strategies Corporation (pdf - 548 KB)This link will open in a new windowUpdated on October 20, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - PSC (Mark Kent and Kenneth Parker)
• Primerica Financial Services (pdf - 120 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (John A. Adams)
• Private Capital Markets Association of Canada (pdf - 566 KB)This link will open in a new windowUpdated on October 19, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - PCMA (David Gilkes and B. Koscak and N. Milne and Z. Goldenberg and D. Bedard and G. Blanas)
• PUR Investing inc. (pdf - 492 KB)This link will open in a new windowUpdated on October 20, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Mark S. Yamada)
• Purpose Investments (pdf - 362 KB)This link will open in a new windowUpdated on October 19, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations"(Som Seif)
• Qtrade Financial Group (pdf - 164 KB)This link will open in a new windowUpdated on October 20, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Bill Packham and Alexandra Williams)
• Quadrus Investment Services Ltd. (pdf - 335 KB)This link will open in a new windowUpdated on October 18, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Michael Stanley)
• RBC (pdf - 143 KB)This link will open in a new windowUpdated on October 18, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Doug Guzman and Jennifer Tory)
• RESP Dealers Association of Canada and Children’s Education Funds Inc. (pdf - 11 MB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" – RESPDAC and CEFI (Paul Renaud)
• Retirement Action (pdf - 270 KB)This link will open in a new windowUpdated on October 14, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Peter Benedek)
• Scotiabank (pdf - 2 MB)This link will open in a new windowUpdated on October 19, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Glen Gowland)
• Services financiers Acadie (pdf - 94 KB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement" (Joanne Hébert)
• Small Investor Protection Association (pdf - 257 KB)This link will open in a new windowUpdated on October 13, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement –SIPA (Stan I. Buell)
• Steadyhand Investment Funds Inc. (pdf - 148 KB)This link will open in a new windowUpdated on October 21, 2016 (Tom Bradley)
• St-Mauris Gestion de placements (pdf - 297 KB)This link will open in a new windowUpdated on October 14, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement" (Jean-Marc Milette)
• Sun Life Financial Investment Services Canada Inc. (pdf - 4 MB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - SLFISI (Nick DiRenzo)
• TD Bank Group (pdf - 17 MB)This link will open in a new windowUpdated on October 21, 2016 (Leo Salom)
• The Canadian Advocacy Council for Canadian CFA Institute Societies (pdf - 377 KB)This link will open in a new windowUpdated on October 18, 2016 - CAC (Michael Thom)
• The Canadian Bankers Association (pdf - 220 KB)This link will open in a new windowUpdated on October 18, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - CBA (Andrea Cotroneo)
• The Canadian Securities Institute (pdf - 97 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" - CSI (Marc Flynn)
• The Investment Funds Institute of Canada (pdf - 565 KB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" – IFIC (Paul C. Bourque)
• The RaeLipskie Partnership (pdf - 188 KB)This link will open in a new windowUpdated on October 17, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Brian Lipskie)
• Tri View Capital Ltd (pdf - 520 KB)This link will open in a new windowUpdated on October 20, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Craig Burrows)
• Vanguard Investments Canada Inc. (pdf - 221 KB)This link will open in a new windowUpdated on October 21, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Atul Tiwari)
• WealthBar Financial Services (pdf - 272 KB)This link will open in a new windowUpdated on October 18, 2016"acvm,33-404,consultation 33-404,consultation,document de consultation 33-404,projets de réformes ciblées,règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites,règlement 31-103,projet de norme réglementaires,agir au mieux,propositions de rehaussement des obligations, propositions de rehaussement,csa,consultation 33-404,consultation paper 33-404,comment,33-404, targeted reforms proposals,national instrument 31-103 respecting registration requirements,instrument 31-103,exemptions and ongoing registrant obligations,best interest standard proposal,best interest,proposals to enhance,obligations" (Neville Joanes and Tea Nicola)
• YTM Capital (pdf - 594 KB)This link will open in a new windowUpdated on October 19, 2016(David Burbach)

Comments received (comments are published in their original language)

• Alberta Investment Management Corporation (Alison Schneider), British Columbia Investment Management Corporation (Bryan Thomson), Caisse de dépôt et placement du Québec (Ginette Depelteau), Canada Pension Plan Investment Board (Stephanie Leaist), OMERS Administration Corporation (Michael Kelly), Ontario Teachers' Pension Plan (Jeff Davis), Pubic Sector Pension Investment Board (Stéphanie Lachance) (pdf - 2 MB)This link will open in a new windowUpdated on July 22, 2016consultation,infrastructure du vote par procuration,protocoles,rapprochement des votes,actionnaire, propriétaire véritable,intermédiaire,émetteur,compilateur,CDS,Broadridge,agent des transferts,assemblée,fiabilité,intégrité,transparence,sollicitation,attente,indication,information,communication,comité technique,table ronde,droits de vote,investisseur / request for comments, proxy voting infrastructure,protocols,vote reconciliation,shareholder,beneficial owner,intermidiary,issuer,tabulator, CDS,Broadridge,tranfer agent,meeting,accuracy,integrity,transparency,solicitation,expectation,guidance, information,communication,technical committee,roundtable,voting rights,investor
• Broadridge Investor Communications Corporation (pdf - 262 KB)This link will open in a new windowUpdated on July 22, 2016consultation,infrastructure du vote par procuration, (Patricia Rosch)
• Canadian Investor Relation Institute (pdf - 137 KB)This link will open in a new windowUpdated on July 26, 2016(Yvette Lokker)
• Canadian Society of Corporate Secretaries (pdf - 210 KB)This link will open in a new windowUpdated on July 22, 2016 (Lynn Beauregard, David Masse)
• Hansell LLP (pdf - 2 MB)This link will open in a new windowUpdated on July 22, 2016consultation,infrastructure du vote par procuration, (Frédéric Duguay)
• Norton Rose Fulbright Canada LLP (pdf - 110 KB)This link will open in a new windowUpdated on July 22, 2016consultation,infrastructure du vote par procuration,
• OMERS Administration Corporation (pdf - 250 KB)This link will open in a new windowUpdated on July 22, 2016consultation,infrastructure du vote par procuration, (Jenny Tsouvalis)
• Securities Transfer Association of Canada (pdf - 192 KB)This link will open in a new windowUpdated on July 22, 2016consultation,infrastructure du vote par procuration,(William J.Speirs)