Issues and Discussion Paper of the Autorité des marchés financiers on Account Transfers in the Financial Sector (pdf - 195 KB)This link will open in a new windowUpdated on July 10, 2025Consultation on account transfers in the financial sector.

Comments received (comments are published in their original language)

• Association canadienne des compagnies d’assurances de personnes | ACCAP(pdf - 229 KB)This link will open in a new windowUpdated on October 23, 2025Document de réflexion et discussion sur les transferts de comptes dans le secteur financier
• Bureau d'assurance du Canada | BAC(pdf - 478 KB)This link will open in a new windowUpdated on October 23, 2025Document de réflexion et discussion sur les transferts de comptes dans le secteur financier (Laurent Fafard)
• Cloutier Groupe Financier(pdf - 418 KB)This link will open in a new windowUpdated on October 23, 2025Document de réflexion et discussion sur les transferts de comptes dans le secteur financier (François Bruneau)
• Compagnie d’assurance Definity(pdf - 147 KB)This link will open in a new windowUpdated on October 23, 2025Document de réflexion et discussion sur les transferts de comptes dans le secteur financier (Sébastien Vachon)
• Corporation Bloomridge Inc. (pdf - 148 KB)This link will open in a new windowUpdated on October 1^st, 2025 (Brian Balbuena-Diaz)
• Fair Canada (pdf - 515 KB)This link will open in a new windowUpdated on October 23, 2025transfert de compte, transfert en bloc, encaisse, dépôt, épargne collective, police d’assurance, fonds distincts, institution de dépôts, coopérative de services financiers, courtier, cabinet, planification financière, courtage hypothécaire, fiducie, assurance (Jean-Paul Bureaud)
• Groupe financier PEAK(pdf - 124 KB)This link will open in a new windowUpdated on October 23, 2025Document de réflexion et discussion sur les transferts de comptes dans le secteur financier (Erika Tatiana Fernandez, Élisabeth Chamberland, Martin Boileau)
• IDC Worldsource Insurance Network Inc. (pdf - 859 KB)This link will open in a new windowUpdated on October 23, 2025Issues and Discussion Paper of the Autorité des marchés financiers on Account Transfers in the Financial Sector (Phil Marsillo)
• Mérici Services Financiers Inc.(pdf - 246 KB)This link will open in a new windowUpdated on October 23, 2025Document de réflexion et discussion sur les transferts de comptes dans le secteur financier
• MICA Capital Inc. (pdf - 158 KB)This link will open in a new windowUpdated on October 23, 2025Document de réflexion et discussion sur les transferts de comptes dans le secteur financier (Gino Sebastian Savard, Yvan Morin)
• Michel Provost(pdf - 117 KB)This link will open in a new windowUpdated on October 2, 2025
• Mouvement Desjardins(pdf - 350 KB)This link will open in a new windowUpdated on October 23, 2025Document de réflexion et discussion sur les transferts de comptes dans le secteur financier (Giuseppina Mara)
• Portfolio Management Association of Canada | PMAC (pdf - 216 KB)This link will open in a new windowUpdated on October 23, 2025Issues and Discussion Paper of the Autorité des marchés financiers on Account Transfers in the Financial Sector (Katie Walmsley, Warren M. Rudick)
• Union des consommateurs(pdf - 312 KB)This link will open in a new windowUpdated on October 23, 2025Document de réflexion et discussion sur les transferts de comptes dans le secteur financier
• Yves Nadeau(pdf - 91 KB)This link will open in a new windowUpdated on October 2, 2025

CSA Notice of Consultation 25-314: Proposed approach to oversight and refinements to the proposed binding authority framework for an identified ombudservice (pdf - 682 KB)This link will open in a new windowUpdated on July 15, 2025Proposed approach to oversight and refinements to the proposed binding authority framework for an identified ombudservice.

Comments received (comments are published in their original language)

• The Canadian Advocacy Council of CFA Societies Canada (CAC of CFA) (pdf - 447 KB)This link will open in a new windowUpdated on October 2, 2025
• Canadian Association of Retired Persons | CARP (pdf - 252 KB)This link will open in a new windowUpdated on September 5, 2025CARP (Bill VanGorder) (Bill VanGorder)
• Canadian Forums for Financial Markets (pdf - 1 MB)This link will open in a new windowUpdated on October 2, 2025
• Canadian Investment Regulatory Organizations Investor Advisory Panel (pdf - 75 KB)This link will open in a new windowUpdated on November 11, 2025 (Jason Alcorn)
• Capital Markets Haywood (pdf - 151 KB)This link will open in a new windowUpdated on October 2, 2025 (Robert Blanchard)
• CIFIC (pdf - 205 KB)This link will open in a new windowUpdated on September 23, 2025 (A. Sinigagliese)
• CSA Investor Advisory Panel (pdf - 130 KB)This link will open in a new windowUpdated on November 11, 2025
• FAIR (pdf - 429 KB)This link will open in a new windowUpdated on September 23, 2025 (Jean-Paul Bureaud), Prosper Canada (Elizabeth Mulholland), Consumers Council of Canada (Don Mercer), Public Interest Advocacy Centre (Geoff White), CanAge (Jana Ray), The Canadian Advocacy Council of CFA Societies Canada
• Fédération des Courtiers Indépendants(pdf - 178 KB)This link will open in a new windowUpdated on October 2, 2025 (Matthew T. Latimer)
• Getz Prince Wells LLP (pdf - 145 KB)This link will open in a new windowUpdated on September 23, 2025 (Dana H. Prince)
• Harvey S. Naglie (pdf - 45 KB)This link will open in a new windowUpdated on August 1^st, 2025Avis de consultation 25-314 des ACVM: Proposition d’approche en matière de surveillance d’un service de médiation visé et d’ajustement du projet d’encadrement visant à lui conférer le pouvoir exécutoire
• IG Wealth Management Inc. (pdf - 200 KB)This link will open in a new windowUpdated on October 6, 2025 (Danielle Tetrault)
• Independent Finacial Brokers of Canada (pdf - 246 KB)This link will open in a new windowUpdated on October 2, 2025 (Nancy Allan)
• Investor Advisory Panel (pdf - 320 KB)This link will open in a new windowUpdated on October 6, 2025 (James Sinclair)
• Kenmare Associates (pdf - 411 KB)This link will open in a new windowUpdated on November 11, 2025
• Mouvement Desjardins(pdf - 293 KB)This link will open in a new windowUpdated on October 6, 2025 (Giuseppina Marra)
• OBSI (pdf - 549 KB)This link will open in a new windowUpdated on October 6, 2025 (Sarah P. Bradley)
• Odlum Brown Limited (pdf - 214 KB)This link will open in a new windowUpdated on October 6, 2025 (Trevor Short)
• Option consommateur(pdf - 184 KB)This link will open in a new windowUpdated on October 6, 2025 (Christian Corbeil)
• Osgoode (pdf - 243 KB)This link will open in a new windowUpdated on September 23, 2025
• Pacific Spirit Investment Management Inc. (pdf - 180 KB)This link will open in a new windowUpdated on October 6, 2025 (John S Clark)
• Portfolio Management Association of Canada (pdf - 245 KB)This link will open in a new windowUpdated on October 2, 2025 (Katie Walmsley, Warren M. Rudick)
• Portfolio Strategies (pdf - 128 KB)This link will open in a new windowUpdated on October 2, 2025 (Mark S. Kent, Zachary Cohen)
• PEAK Groupe Financier (pdf - 115 KB)This link will open in a new windowUpdated on October 6, 2025 (Erika Tatiana Fernandez, Élisabeth Chamberland, Martin Boileau)
• Primerica Canada (pdf - 850 KB)This link will open in a new windowUpdated on October 2, 2025 (John Adams)
• Private Capital Markets Association of Canada (pdf - 624 KB)This link will open in a new windowUpdated on October 2, 2025 (Brian Koscak, Christopher Kozub, Nadine Milne, David Gilkes)
• Rick Price (pdf - 267 KB)This link will open in a new windowUpdated on September 5, 2025
• Securities and Investment Management Association (pdf - 2 MB)This link will open in a new windowUpdated on November 11, 2025 (Andy Mitchell)

• Regulatory Notice (pdf - 209 KB)This link will open in a new windowUpdated on June 25, 2025
• CSA Notice of consultation (pdf - 278 KB)This link will open in a new windowUpdated on June 25, 2025
• Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 148 KB)This link will open in a new windowUpdated on June 25, 2025

Comments received (comments are published in their original language)

• Canadian Association of Retired Persons | CARP (pdf - 256 KB)This link will open in a new windowUpdated on September 5, 2025CARP-Bill VanGorder (Bill VanGorder)
• Canadian Bankers Association (pdf - 227 KB)This link will open in a new windowUpdated on September 23, 2025
• Canadian Forum for Financial Markets (pdf - 907 KB)This link will open in a new windowUpdated on September 29, 2025
• Canadian Independent Finance and Innovation Counsel | CIFIC (pdf - 173 KB)This link will open in a new windowUpdated on August 1^st, 2025Règlement modifiant le Règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites - Interdiction du recours à la rétrofacturation dans le cadre du placement de titres de fonds d’investissement (Annie Sinigagliese)
• CFA Societies Canada (pdf - 405 KB)This link will open in a new windowUpdated on September 26, 2025
• Cloutier Groupe Financier (pdf - 239 KB)This link will open in a new windowUpdated on October 6, 2025 (François Bruneau)
• CST Savings (pdf - 482 KB)This link will open in a new windowUpdated on September 29, 2025 (Peter Lewis, Carole Matear)
• David Fieldstone (pdf - 107 KB)This link will open in a new windowUpdated on December 9, 2025David Fieldstone letter of July 6, 2025 re Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations – Prohibition on the Use of Chargebacks in the Distribution of Investment Fund Securities
• Eva Krasa (pdf - 287 KB)This link will open in a new windowUpdated on December 9, 2025
• FAIR Canada (pdf - 607 KB)This link will open in a new windowUpdated on September 23, 2025
• Financial Planning Association of Canada (pdf - 762 KB)This link will open in a new windowUpdated on September 23, 2025 (Jason M. Pereira, Julia Chung)
• H. Buksa (pdf - 119 KB)This link will open in a new windowUpdated on December 9, 2025
• Harvey S. Naglie (pdf - 80 KB)This link will open in a new windowUpdated on July 11, 2025
• Investor Advisory Panel (pdf - 216 KB)This link will open in a new windowUpdated on September 26, 2025 (James Sinclair)
• James MacDonald (pdf - 61 KB)This link will open in a new windowUpdated on July 29, 2025Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Prohibition on the Use of Chargebacks in the Distribution of Investment Fund Securities
• Kenmar Associate (pdf - 109 KB)This link will open in a new windowUpdated on December 9, 2025 (Ken Kivenko)
• PEAK (pdf - 101 KB)This link will open in a new windowUpdated on October 2, 2025 (Erika Tatiana Fernandez, Élisabeth Chamberland, Martin Boileau)
• Peter Withouse (pdf - 107 KB)This link will open in a new windowUpdated on December 9, 2025
• Portofolio Strategies (pdf - 1 MB)This link will open in a new windowUpdated on December 9, 2025 (Mark S. Kent, Zachary Cohen)
• Tim Carter (pdf - 358 KB)This link will open in a new windowUpdated on December 9, 2025
• Yegal Rosen (pdf - 252 KB)This link will open in a new windowUpdated on December 9, 2025

• Notice of consultation (pdf - 114 KB)This link will open in a new windowUpdated on June 26, 2025
• Regulation to amend the Securities Regulation (pdf - 172 KB)This link will open in a new windowUpdated on June 26, 2025
• Regulation to amend the Tariffs for costs and fees payable in respect of derivatives (pdf - 175 KB)This link will open in a new windowUpdated on June 26, 2025
• Regulation to amend Regulation 13-103 respecting the System for Electronic Data Analysis and Retrieval + (SEDAR + (pdf - 99 KB)This link will open in a new windowUpdated on June 26, 2025

• Notice of consultation (pdf - 140 KB)This link will open in a new windowUpdated on June 26, 2025
• Regulation to amend the Regulation respecting the eligibility of a claim submitted to the Fonds d’indemnisation des services financiers (pdf - 144 KB)This link will open in a new windowUpdated on June 26, 2025
  • Consolidated blacklined version (pdf - 150 KB)This link will open in a new windowUpdated on July 9, 2025Blacklined version of Regulation respecting the eligibility of a claim submitted to the Fonds d’indemnisation des services financiers

Comments received (comments are published in their original language)

• ACCAP-Québec (pdf - 269 KB)This link will open in a new windowUpdated on October 2, 2025 (Lyne Duhaime)
• Laboratoire en droit des services financiers(pdf - 435 KB)This link will open in a new windowUpdated on October 2, 2025 (Cinthia Duclos)
• Professionnels hypothécaires du Canada(pdf - 133 KB)This link will open in a new windowUpdated on October 2, 2025

• Regulatory Notice (pdf - 106 KB)This link will open in a new windowUpdated on January 23, 2025
• CSA Notice of consultation (pdf - 382 KB)This link will open in a new windowUpdated on January 23, 2025
  • CSA Staff Notice 23-334: Draft Regulation to amend Regulation 23-101 respecting Trading Rules  and Draft Changes to Policy Statement to Regulation 23-101 respecting Trading Rules (pdf - 232 KB)This link will open in a new windowUpdated on May 29, 2025CSA Staff Notice 23-334 extending the comment period of Draft Regulation to amend Regulation 23-101.
• Regulation to amend Regulation 23-101 respecting Trading Rules (pdf - 107 KB)This link will open in a new windowUpdated on January 23, 2025
• Changes to Policy Statement to Regulation 23-101 (pdf - 133 KB)This link will open in a new windowUpdated on January 23, 2025

Comments received (comments are published in their original language)

• BMO (pdf - 206 KB)This link will open in a new windowUpdated on April 2, 2025 (Eric Stockland, Grant McLaughlin, Antonio Trillo)
• Canadian Independent Finance and Innovation Counsel Inc. | CIFIC (pdf - 234 KB)This link will open in a new windowUpdated on April 8, 2025Regulation to amend Regulation 23-101 respecting Trading Rules (Annie Sinigagliese)
• Investment Industry Association of Canada | IIAC (pdf - 1 MB)This link will open in a new windowUpdated on April 2, 2025Regulation to amend Regulation 23-101 respecting Trading Rules
• Nasdaq (pdf - 334 KB)This link will open in a new windowUpdated on July 10, 2025
• National Bank Financial Inc. (pdf - 314 KB)This link will open in a new windowUpdated on July 7, 2025 (Patrick McEntyre and Eric Bryce)
• Scotiabank (pdf - 317 KB)This link will open in a new windowUpdated on April 10, 2025Regulation to amend Regulation 23-101 respecting Trading Rules (Alex Perel-Nitin Mathur)
• TMX (pdf - 374 KB)This link will open in a new windowUpdated on April 2, 2025Regulation to amend Regulation 23-101 respecting Trading Rules (Doug Clark)
• Tradelogiq Markets Inc. (pdf - 294 KB)This link will open in a new windowUpdated on April 10, 2025Regulation to amend Regulation 23-101 respecting Trading Rules (Jonathan Sylvestre)
• Virtu Canada Corp. (pdf - 89 KB)This link will open in a new windowUpdated on July 7, 2025 (Brandon Boyd)

Canadian securities regulators extend comment periods for the investment fund continuous disclosure modernization and principal distributor model proposals This link will open in a new window

• Regulatory Notice (pdf - 113 KB)This link will open in a new windowUpdated on November 27, 2024
• CSA Notice of Consultation (pdf - 411 KB)This link will open in a new windowUpdated on November 27, 2024
• Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices (pdf - 131 KB)This link will open in a new windowUpdated on November 28, 2024
• Amendments to Policy Statement to Regulation 81-105 respecting Mutual Fund Sales Practices (pdf - 116 KB)This link will open in a new windowUpdated on November 28, 2024
• Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 132 KB)This link will open in a new windowUpdated on November 28, 2024
• Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 139 KB)This link will open in a new windowUpdated on November 28, 2024
• Regulation to amend Regulation 81-101 respecting Mutual Fund Prospectus Disclosure (pdf - 134 KB)This link will open in a new windowUpdated on November 28, 2024
• Regulation to amend Regulation 81-102 respecting Investment Funds (pdf - 129 KB)This link will open in a new windowUpdated on November 28, 2024
• Amendments to Policy Statement to Regulation 81-102 respecting Investment Funds. (pdf - 130 KB)This link will open in a new windowUpdated on November 28, 2024
   

Comments received (comments are published in their original language)

• AGF Investments Inc. | AGF (pdf - 230 KB)This link will open in a new windowUpdated on May 2, 2025Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices (Kevin McCreadie)
• Canadian Advocacy Council of CFA Societies Canada | CAC (pdf - 449 KB)This link will open in a new windowUpdated on March 17, 2025Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices (pdf - 131 KB) This link will open in a new window (Principal Distributor Model)
• Canadian Bankers Association (pdf - 173 KB)This link will open in a new windowUpdated on May 2, 2025Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices
• Canadian Foundation for Advancement of Investor Rights | FAIR Canada (pdf - 436 KB)This link will open in a new windowUpdated on April 10, 2025Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices (Jean-Paul Bureaud)
• Canadian Independent Finance and Innovation Counsel Inc. | CIFIC (pdf - 165 KB)This link will open in a new windowUpdated on March 17, 2025Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices (pdf - 131 KB) This link will open in a new window (Principal Distributor Model) (Annie Sinigagliese)
• Federation of Independant Dealers (pdf - 271 KB)This link will open in a new windowUpdated on May 6, 2025Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices (Matthew T. Latimer)
• Investment Industry Association of Canada (pdf - 946 KB)This link will open in a new windowUpdated on May 2, 2025Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices
• Investor Advisory Panel (pdf - 203 KB)This link will open in a new windowUpdated on May 2, 2025Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices (James Sinclair)
• Mackenzie Investments (pdf - 82 KB)This link will open in a new windowUpdated on May 2, 2025Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices (Luke Gould)
• PEAK Groupe financier (pdf - 214 KB)This link will open in a new windowUpdated on May 2, 2025Règlement 81-105 sur les pratiques commerciales des organismes de placement collectif et ses concordants - Modèle du placeur principal (Erika Tatiana Fernandez, Élisabeth Chamberland, Martin Boileau)
• Portfolio Strategies (pdf - 4 MB)This link will open in a new windowUpdated on May 2, 2025Règlement 81-105 sur les pratiques commerciales des organismes de placement collectif et ses concordants - Modèle du placeur principal (Mark S. Kent)
• Primerica (pdf - 553 KB)This link will open in a new windowUpdated on May 2, 2025Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices (John A. Adams)
• Securities and Investment Management Association | SIMA (pdf - 192 KB)This link will open in a new windowUpdated on April 29, 2025 (Andy Mitchell)
• Worldsource Financial Management Inc. & Worldsource Securities Inc. (pdf - 141 KB)This link will open in a new windowUpdated on May 2, 2025Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices (Natasa Morfesis, Doce Tomic, Rich Rizi)

CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets (pdf - 596 KB)This link will open in a new windowUpdated on December 5, 2024CSA Staff Notice and Consultation 11-348 about the Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets.

Comments received (comments are published in their original language)

• Borden Ladner Gervais | BLG (pdf - 104 KB)This link will open in a new windowUpdated on April 10, 2025CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets (Laura Levine, Melissa Ghislanzoni, Yemisi Afolabi)
• Canadian Advocacy Council of CFA Societies Canada (pdf - 486 KB)This link will open in a new windowUpdated on April 10, 2025CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets
• Canadian Bankers Association (pdf - 223 KB)This link will open in a new windowUpdated on April 10, 2025CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets
• Canadian Securities Exchange | CSE (pdf - 130 KB)This link will open in a new windowUpdated on April 10, 2025CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets (Tracy Stern)
• Canadian Independent Finance and Innovation Counsel Inc. | CIFIC (pdf - 201 KB)This link will open in a new windowUpdated on April 10, 2025CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets (Annie Sinigagliese)
• Fonds de solidarité des travailleurs et des travailleuses du Québec | FTQ (pdf - 242 KB)This link will open in a new windowUpdated on April 10, 2025Avis 11-348 du personnel des ACVM et de consultation : Applicabilité du droit canadien des valeurs mobilières à l’utilisation des systèmes d’intelligence artificielle dans les marchés des capitaux (Natalie Brown)
• Harvey S. Naglie (pdf - 86 KB)This link will open in a new windowUpdated on April 10, 2025CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets
• Invesco Canada Ltd. (pdf - 201 KB)This link will open in a new windowUpdated on April 10, 2025CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets (Shalomi Abraham)
• Investor Advisory Panel | IAP (pdf - 230 KB)This link will open in a new windowUpdated on April 10, 2025CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets (James Sinclair)
• Investment Industry Association of Canada | IIAC (pdf - 611 KB)This link will open in a new windowUpdated on April 10, 2025CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets
• KBRA (pdf - 94 KB)This link will open in a new windowUpdated on April 10, 2025KBRA letter of March 31, 2025 re. 11-348 - Applicability of Canadian Securities Laws and the use of Artificial Intelligence
• NorthstarDAO (pdf - 340 KB)This link will open in a new windowUpdated on April 10, 2025Wealthsimple-Blair Wiley (Randall Baran-Chong)
• Portfolio Management Association of Canada | PMAC (pdf - 180 KB)This link will open in a new windowUpdated on April 8, 2025PMAC-AGPC-K. Walmsley-W. M. Rudick (Katie Walmsley, Warren M. Rudick)
• Private Capital Markets Association of Canada | PCMA (pdf - 555 KB)This link will open in a new windowUpdated on April 10, 2025CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets (Brian Koscak, David Gilkes, Nadine Milne)
• Questrade Financial Group (pdf - 240 KB)This link will open in a new windowUpdated on May 6, 2025CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets (Edward Khlodenko)
• Theta Lake (pdf - 154 KB)This link will open in a new windowUpdated on April 10, 2025CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets (Marc Gilman, Stacey English)
• TMX Group (pdf - 190 KB)This link will open in a new windowUpdated on April 29, 2025CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets (Richard Everett)
• University of Ottawa (Doug Sarro), University of Western Ontario (Martin Petrin) (pdf - 752 KB)This link will open in a new windowUpdated on April 10, 2025Avis 11-348 du personnel des ACVM et de consultation : Applicabilité du droit canadien des valeurs mobilières à l’utilisation des systèmes d’intelligence artificielle dans les marchés des capitaux
• Wealthsimple (pdf - 190 KB)This link will open in a new windowUpdated on April 10, 2025CSA Staff Notice and Consultation 11-348: Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets (Blair Wiley)

• Regulatory Notice (pdf - 104 KB)This link will open in a new windowUpdated on November 21, 2024
• CSA Notice and Request for Comment (pdf - 348 KB)This link will open in a new windowUpdated on November 21, 2024
• Regulation to amend Regulation 13-102 respecting System Fees (pdf - 152 KB)This link will open in a new windowUpdated on November 21, 2024

Comments received (comments are published in their original language)

• Canadian Independant Finance and Innovation (CIFIC) (pdf - 190 KB)This link will open in a new windowUpdated on March 24, 2025Comments of Canadian Independent Finance and Innovation Counsel (CIFIC) to Amendments to Regulation 13-102 respecting System Fees. (Annie Sinigagliese)
• Fidelity Investment Canada ULC (pdf - 250 KB)This link will open in a new windowUpdated on March 24, 2025Comment of Fidelity Investment on Amendments to Regulation 13-102 respecting System Fees. (Robyn Mendelson)
• IGM Financial Inc. (pdf - 89 KB)This link will open in a new windowUpdated on March 24, 2025Comments of IGM Financial Inc on Amendments to Regulation 13-102 respecting System Fees. (Keith Potter)
• The Investment Funds Institute of Canada (IFIC) (pdf - 148 KB)This link will open in a new windowUpdated on March 24, 2025 (Andy Mitchell)

• Regulatory Notice (pdf - 111 KB)This link will open in a new windowUpdated on November 19, 2024Regulatory Notice for Draft Amendments and Draft Changes to Implement an Access Model for Certain Continuous Disclosure Documents of Non-Investment Fund Reporting Issuers.
• CSA Second Notice of Consultation (pdf - 389 KB)This link will open in a new windowUpdated on November 18, 2024CSA Second Notice of Consultation about Draft Amendments and Draft Changes to Implement an Access Model for Certain Continuous Disclosure Documents of Non-Investment Fund Reporting Issuers.: Draft Amendments and Draft Changes to Implement an Access Model for Certain Continuous Disclosure Documents of Non-Investment Fund Reporting Issuers
• Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (pdf - 157 KB)This link will open in a new windowUpdated on November 18, 2024Draft Regulation to amend Regulation 51-102 to Implement an Access Model for Certain Continuous Disclosure Documents of Non-Investment Fund Reporting Issuers.
• Amendments to Policy Statement to Regulation 51-102 (pdf - 143 KB)This link will open in a new windowUpdated on November 18, 2024Changes to Policy Statement to Regulation 51-102 to Implement an Access Model for Certain Continuous Disclosure Documents of Non-Investment Fund Reporting Issuers.
• Regulation to amend Regulation 54-101 respecting Communication with Beneficial Owners of Securities of a Reporting Issuer (pdf - 136 KB)This link will open in a new windowUpdated on November 18, 2024Draft Regulation to amend Regulation 54-101 to Implement an Access Model for Certain Continuous Disclosure Documents of Non-Investment Fund Reporting Issuers.
• Amendments to Policy Statement to Règlement 54-101 (pdf - 162 KB)This link will open in a new windowUpdated on November 18, 2024Draft Changes to Policy Statement to Regulation 54-101 to Implement an Access Model for Certain Continuous Disclosure Documents of Non-Investment Fund Reporting Issuers. 
   

Comments received (comments are published in their original language)

• Borden Ladner Gervais | BLG (pdf - 76 KB)This link will open in a new windowUpdated on February 21, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents) (Laura Levine & Yemisi Afolabi)
• Broadridge (pdf - 1 MB)This link will open in a new windowUpdated on February 21, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents) (Mike Donawitz & Robert Lombardo)
• Canadian Advocacy Council of CFA Societies Canada (pdf - 418 KB)This link will open in a new windowUpdated on February 14, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents)
• Canadian Bankers Association | CBA (pdf - 175 KB)This link will open in a new windowUpdated on January 10, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents)
• Canadian Coalition for Good Governance | CCGG (pdf - 889 KB)This link will open in a new windowUpdated on February 14, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents) (Amit Prakash)
• Canadian Foundation for the Advancement of Investor Rights | FAIR Canada (pdf - 158 KB)This link will open in a new windowUpdated on February 21, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents) (Jean-Paul Bureaud)
• Davies (pdf - 229 KB)This link will open in a new windowUpdated on February 21, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents) (David Wilson, Robert Murphy, Yevgeniya Huggins)
• Fidelity (pdf - 274 KB)This link will open in a new windowUpdated on February 21, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents) (Robyn Mendelson)
• Investment Industry Association of Canada | IIAC (pdf - 291 KB)This link will open in a new windowUpdated on February 21, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents)
• Investor Advisory Panel | IAP (pdf - 158 KB)This link will open in a new windowUpdated on February 14, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents) (James Sinclair)
• Mark J. Bentler (pdf - 193 KB)This link will open in a new windowUpdated on January 29, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents)
• OSLER Hoskin & Harcourt LLP (pdf - 256 KB)This link will open in a new windowUpdated on February 21, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents)
• Securities Transfer Association of Canada | STAC (pdf - 242 KB)This link will open in a new windowUpdated on February 21, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents) (Lara Donaldson)
• Stikeman Elliott (pdf - 329 KB)This link will open in a new windowUpdated on February 21, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents) (Tara Law, Jeff Hershenfield, Simon A. Romano, David Tardif)
• TMX (pdf - 682 KB)This link will open in a new windowUpdated on February 21, 2025Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (Access Model for Certain Continuous Disclosure Documents) (Loui Anastasopoulos)