• Notice of consultation (pdf - 246 KB)This link will open in a new windowUpdated on December 8, 2022Regulatory advice on professional liability insurance and outside activities of representatives Act respecting the distribution of financial products and services and questions on cyber risks in liability insurance. The proposed regulatory amendments advance the goal of protecting the public and reducing compliance burden. The AMF wishes to address insurance coverage issues that have been observed over the years, including compliance issues with certain policies. In keeping with the highest public protection standards, the proposed regulatory amendments update the framework for outside activities of representatives governed by the Distribution Act.
• Regulation to amend the Regulation respecting firms, independent representatives and independent partnerships (pdf - 136 KB)This link will open in a new windowUpdated on December 8, 2022Regulatory consultation relating to professional liability insurance and outside activities
  • Consolidated version - Blacklined version (pdf - 206 KB)This link will open in a new windowUpdated on December 9, 2022Consolidated version of Regulation respecting firms, independent representatives and independent partnerships
• Regulation to amend the Regulation respecting the issuance and renewal of representatives’ certificates (pdf - 101 KB)This link will open in a new windowUpdated on December 8, 2022Regulatory consultation relating to professional liability insurance and outside activities
  • Consolidated version - Blacklined version (pdf - 245 KB)This link will open in a new windowUpdated on December 9, 2022Regulatory consultation relating to professional liability insurance and outside activities
• Regulation to amend the Regulation respecting the pursuit of activities as a representative (pdf - 152 KB)This link will open in a new windowUpdated on December 8, 2022Regulatory consultation relating to professional liability insurance and outside activities
  • Consolidated version - Blacklined version (pdf - 331 KB)This link will open in a new windowUpdated on December 9, 2022Regulatory consultation relating to professional liability insurance and outside activities
• Regulation to amend the Regulation respecting the registration of firms, representatives and independent partnerships (pdf - 123 KB)This link will open in a new windowUpdated on December 8, 2022Regulatory consultation relating to professional liability insurance and outside activities
  • Consolidated version - Blacklined version (pdf - 295 KB)This link will open in a new windowUpdated on December 9, 2022Regulatory consultation relating to professional liability insurance and outside activities
• Regulation to amend the Regulation respecting the keeping and preservation of books and registers (pdf - 104 KB)This link will open in a new windowUpdated on December 8, 2022Regulatory consultation relating to professional liability insurance and outside activities
  • Consolidated version - Blacklined version (pdf - 137 KB)This link will open in a new windowUpdated on December 9, 2022Regulatory consultation relating to professional liability insurance and outside activities

Comments received (comments are published in their original language)

Association canadienne des compagnies d’assurances de personnes (pdf - 405 KB)This link will open in a new windowUpdated on February 16, 2023

Bureau d’assurance du Canada – BAC (pdf - 3 MB)This link will open in a new windowUpdated on April 5, 2023" assurance,responsabilité,professionnelle,inscrit,cyberrisques,cyber risques,cyber-risques,cyber assurance,assurance risque informatique,loi sur la distribution de produits et services financiers,activité externe,autre activité,double emploi,seconde occupation,incompatibilité,formulaire double emploi,formulaire en cas de double emploi,déclaration relative à une activité externe,postulant,entreprise,représentant,inscrit,autorité des marchés financiers,amf,autorité,consultation,consultation réglementaire,consultation réglementaire,situation incompatible,occupation incompatible,mise en garde " (Johanne Lamanque)

Bureau d’assurance du Canada – BAC (pdf - 180 KB)This link will open in a new windowUpdated on February 7, 2023 (Johanne Lamanque)

Corporation des assureurs directs de dommages du Québec – CADD (pdf - 221 KB)This link will open in a new windowUpdated on February 16, 2023" assurance,responsabilité,professionnelle,inscrit,cyberrisques,cyber risques,cyber-risques,cyber assurance,assurance risque informatique,loi sur la distribution de produits et services financiers,activité externe,autre activité,double emploi,seconde occupation,incompatibilité,formulaire double emploi,formulaire en cas de double emploi,déclaration relative à une activité externe,postulant,entreprise,représentant,inscrit,autorité des marchés financiers,amf,autorité,consultation,consultation réglementaire,consultation réglementaire,situation incompatible,occupation incompatible,mise en garde " (Denis Côté)

MICA Capital Inc. (pdf - 712 KB)This link will open in a new windowUpdated on February 7, 2023" assurance,responsabilité,professionnelle,inscrit,cyberrisques,cyber risques,cyber-risques,cyber assurance,assurance risque informatique,loi sur la distribution de produits et services financiers,activité externe,autre activité,double emploi,seconde occupation,incompatibilité,formulaire double emploi,formulaire en cas de double emploi,déclaration relative à une activité externe,postulant,entreprise,représentant,inscrit,autorité des marchés financiers,amf,autorité,consultation,consultation réglementaire,consultation réglementaire,situation incompatible,occupation incompatible,mise en garde " (Gino Sebastian Savard et Yvan Morin)

Professionnels hypothécaires du Canada (pdf - 356 KB)This link will open in a new windowUpdated on February 7, 2023" assurance,responsabilité,professionnelle,inscrit,cyberrisques,cyber risques,cyber-risques,cyber assurance,assurance risque informatique,loi sur la distribution de produits et services financiers,activité externe,autre activité,double emploi,seconde occupation,incompatibilité,formulaire double emploi,formulaire en cas de double emploi,déclaration relative à une activité externe,postulant,entreprise,représentant,inscrit,autorité des marchés financiers,amf,autorité,consultation,consultation réglementaire,consultation réglementaire,situation incompatible,occupation incompatible,mise en garde "

• Notice of consultation (pdf - 111 KB)This link will open in a new windowUpdated on December 15, 2022Consultation of Regulation respecting the prohibition on charging certain fees from holders of individual variable insurance contracts relating to segregated funds
• Regulation respecting the prohibition on charging certain fees from holders of individual variable insurance contracts relating to segregated funds  (pdf - 129 KB)This link will open in a new windowUpdated on December 15, 2022Consultation on Draft Regulation respecting the Prohibition on Charging Certain Fees from Holders of Individual Variable Insurance Contracts relating to Segregated Funds. 

Comments received (comments are published in their original language)

Gislaine Meunier (pdf - 31 KB)This link will open in a new windowUpdated on February 8, 2023

Canadian Advocacy Council of CFA Societies Canada (pdf - 194 KB)This link will open in a new windowUpdated on February 8, 2023

Association canadienne des compagnies d’assurance de personnes (Lyne Duhaime) (pdf - 219 KB)This link will open in a new windowUpdated on February 8, 2023

Consultation paper (pdf - 1 MB)This link will open in a new windowUpdated on June 14, 2022Part of the mission of the Autorité des marchés financiers (the “AMF”) is to ensure that financial institutions such as insurers comply with the obligations imposed on them by law in order to protect the interests of consumers of financial products and services.

Anyone interested in participating in this consultation may do so in writing no later than October 17, 2022 by completing the on-line questionnaire or sending a submission or comment letter by using our on-line form.

Questionnaire This link will open in a new window

• Regulatory Notice (pdf - 19 KB)This link will open in a new windowUpdated on April 28, 2022Regulatory Notice: Total Cost Reporting for Investment Funds and Segregated Funds
• CSA and CCIR Joint Notice of Consultation (pdf - 484 KB)This link will open in a new windowUpdated on April 28, 2022Total Cost Reporting for Investment Funds and Segregated Funds
• Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 86 KB)This link will open in a new windowUpdated on April 28, 2022Total Cost Reporting for Investment Funds and Segregated Funds
• Amendments to Policy Statement to Regulation 31-103 (pdf - 90 KB)This link will open in a new windowUpdated on April 28, 2022Total Cost Reporting for Investment Funds and Segregated Funds

Comments received (comments are published in their original language)

Advocis (pdf - 316 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

AIMA (pdf - 1 MB)This link will open in a new windowUpdated on July 29, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Arthur Ross (pdf - 16 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Banque Nationale (BNC) (pdf - 720 KB)This link will open in a new windowUpdated on August 1^st, 2022Avis de consultation - Information sur le coût total pour les fonds d’investissement et les fonds distincts

Borden Ladner Gervais (BLG) (pdf - 357 KB)This link will open in a new windowUpdated on July 29, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

CAILBA (pdf - 208 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Canadian Advocacy Council (CAC) (pdf - 255 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Canadian ETF Association (CETFA) (pdf - 778 KB)This link will open in a new windowUpdated on July 29, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

CARP (pdf - 763 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Citibank (pdf - 133 KB)This link will open in a new windowUpdated on August 9, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

CLHIA (pdf - 451 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Fair Canada (pdf - 488 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Fasken (pdf - 191 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Federation of Mutual Fund Dealers (FMFD) (pdf - 90 KB)This link will open in a new windowUpdated on July 29, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Fidelity Investments (pdf - 179 KB)This link will open in a new windowUpdated on July 29, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Financial Planning Association of Canada (FPAC) (pdf - 468 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Franklin Templeton (pdf - 226 KB)This link will open in a new windowUpdated on July 29, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

High Level Wealth Management (pdf - 75 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Highview (pdf - 7 MB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

IFIC (pdf - 6 MB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

IGM Financial Inc. (pdf - 143 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

IIAC (pdf - 347 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Invesco (pdf - 267 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Investor Advisory Panel (pdf - 166 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Kenmar (pdf - 583 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Manulife (pdf - 141 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

MICA Capital Inc. (pdf - 726 KB)This link will open in a new windowUpdated on August 1^st, 2022Avis de consultation - Information sur le coût total pour les fonds d’investissement et les fonds distincts

National Bank (NBC) (pdf - 819 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Pacific Spirit (pdf - 385 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Peter Whitehouse (pdf - 62 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Portfolio Management Association of Canada (PMAC) (pdf - 549 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Primerica (pdf - 215 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Private Capital Markets Association of Canada (PCMA) (pdf - 204 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Raymond James Ltd. (pdf - 319 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Royal Bank of Canada (RBC) (pdf - 403 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Scotiabank (pdf - 119 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Steadyhand (pdf - 194 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

Sun Life (pdf - 279 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

TD (pdf - 258 KB)This link will open in a new windowUpdated on August 1^st, 2022Notice of Consultation - Total Cost Reporting for Investment Funds and Segregated Funds

• Notice of consultation (pdf - 31 KB)This link will open in a new windowUpdated on March 17, 2022"notice, consultation, draft, Residential Hypothecary Lending, Guideline"
• Residential Hypothecary Lending Guideline (pdf - 1 MB)This link will open in a new windowUpdated on March 17, 2022"consultation, draft, Residential Hypothecary Lending, Guideline"
• Residential Hypothecary Lending Guideline (pdf - 1 MB)This link will open in a new windowUpdated on March 17, 2022"draft, Residential Hypothecary Lending, Guideline, blacklined version, consultation" - Blacklined version

• Notice of consultation (pdf - 45 KB)This link will open in a new windowUpdated on November 4, 2021Notice of consultation for Incentive Management Guideline
• Notice regarding extension of comment period (pdf - 17 KB)This link will open in a new windowUpdated on December 8, 2021Notice of extension of comment period for Draft Incentive Management Guideline.
• Incentive Management Guideline (pdf - 470 KB)This link will open in a new windowUpdated on November 4, 2021Incentive management guideline

Comments received (comments are published in their original language)

• Response to address comments received during the public consultation (pdf - 107 KB)This link will open in a new windowUpdated on March 14, 2023incentive management; comments; public consultation;

Issues paper (pdf - 4 MB)This link will open in a new windowUpdated on August 27, 2021This issues paper, intended for the various stakeholders in the development of the connected and automated vehicle (“CAV”) market in Québec, has two objectives:

• Notice of consultation (pdf - 44 KB)This link will open in a new windowUpdated on October 21, 2021Ligne directrice;gestion des risques;technologies;information;des communications;avis;consultation publique;mars 2019
• Notice regarding extension of comment period (pdf - 55 KB)This link will open in a new windowUpdated on October 28, 2021Ligne directrice;gestion des risques;technologies;information;des communications;avis;consultation publique;mars 2019 
• Notice regarding extension of comment period (pdf - 17 KB)This link will open in a new windowUpdated on December 8, 2021Notice of extension of comment period for Draft updated Sound Commercial Practices Guideline.
• Sound Commercial Practices Guidelines (pdf - 405 KB)This link will open in a new windowUpdated on October 21, 2021SOUND COMMERCIAL PRACTICES GUIDELINE

Comments received (comments are published in their original language)

Response to address comments received during the public consultation (pdf - 73 KB)This link will open in a new windowUpdated on November 28, 2022"Sound commercial practices; comments; public consultation;"

• Notice of consultation (pdf - 50 KB)This link will open in a new windowUpdated on September 9, 2021Consultation notice on draft Regulation respecting complaint processing and dispute resolution in the financial sector.
• Notice regarding extension of comment period (pdf - 55 KB)This link will open in a new windowUpdated on October 28, 2021Ligne directrice;gestion des risques;technologies;information;des communications;avis;consultation publique;mars 2019
• Regulation respecting complaint processing and dispute resolution in the financial sector (pdf - 83 KB)This link will open in a new windowUpdated on September 9, 2021Draft Regulation respecting complaint processing and dispute resolution in the financial sector.

Comments received (comments are published in their original language)

• Association canadienne des compagnies d’assurance de personnes (Lyne Duhaime) (pdf - 418 KB)This link will open in a new windowUpdated on December 20, 2021
• Association Canadienne du Commerce des Valeurs Mobilières (Annie Sinigagliese) (pdf - 269 KB)This link will open in a new windowUpdated on December 15, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Investment Industry Association of Canada (Annie Sinigagliese) (pdf - 239 KB)This link will open in a new windowUpdated on December 15, 2021"consultation,draft,regulation respecting complaint processing and dispute resolution in the financial sector,regulation on complaint processing,complaint definition, complaint,complaints officier,ombudsman,complaint processing and dispute resolution policy,complaint process practices,summary,prohibitions,administrative penalties,dispute resolution,fair processing of complaints,complaint process rules and practices,complaint register,complaint records"
• Association canadienne des institutions financière en assurance (Rob Dobbins) (pdf - 1,017 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Canadian Association of Financial Institution in Insurance (Rob Dobbins) (pdf - 908 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,draft,regulation respecting complaint processing and dispute resolution in the financial sector,regulation on complaint processing,complaint definition, complaint,complaints officier,ombudsman,complaint processing and dispute resolution policy,complaint process practices,summary,prohibitions,administrative penalties,dispute resolution,fair processing of complaints,complaint process rules and practices,complaint register,complaint records"
• Association des gestionnaires de portefeuille du Canada (Katie Walmsley et Margaret Gunawan) (pdf - 241 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Portfolio Management Association of Canada (Katie Walmsley and Margaret Gunawan) (pdf - 233 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,draft,regulation respecting complaint processing and dispute resolution in the financial sector,regulation on complaint processing,complaint definition, complaint,complaints officier,ombudsman,complaint processing and dispute resolution policy,complaint process practices,summary,prohibitions,administrative penalties,dispute resolution,fair processing of complaints,complaint process rules and practices,complaint register,complaint records"
• Bureau d’assurance du Canada (pdf - 292 KB)This link will open in a new windowUpdated on December 15, 2021
• Canadian Advocacy Council of CFA Societies Canada (pdf - 190 KB)This link will open in a new windowUpdated on December 15, 2021
• Conseil de représentation des sociétés d’analystes financiers agréés du Canada (pdf - 266 KB)This link will open in a new windowUpdated on December 15, 2021
• Corporation des assureurs directs de dommages du Québec (Alain Camirand) (pdf - 874 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Casgrain & Compagnie Limitée (André Zanga) (pdf - 195 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Conseil des fonds d’investissement du Québec (Eric Hallé) (pdf - 106 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Equifax Canada (Julia L. Szadkowski) (pdf - 216 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,draft,regulation respecting complaint processing and dispute resolution in the financial sector,regulation on complaint processing,complaint definition, complaint,complaints officier,ombudsman,complaint processing and dispute resolution policy,complaint process practices,summary,prohibitions,administrative penalties,dispute resolution,fair processing of complaints,complaint process rules and practices,complaint register,complaint records"
• Canadian Foundation for Advancement of Investor Rights – FAIR Canada (Jean-Paul Bureaud) (pdf - 190 KB)This link will open in a new windowUpdated on December 22, 2021"consultation,draft,regulation respecting complaint processing and dispute resolution in the financial sector,regulation on complaint processing,complaint definition, complaint,complaints officier,ombudsman,complaint processing and dispute resolution policy,complaint process practices,summary,prohibitions,administrative penalties,dispute resolution,fair processing of complaints,complaint process rules and practices,complaint register,complaint records"
• Fondation canadienne pour l’avancement des droits des investisseurs – FAIR Canada (Jean-Paul Bureaud) (pdf - 230 KB)This link will open in a new windowUpdated on December 22, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Fidelity Investments Canada (Bradley Prince) (pdf - 901 KB)This link will open in a new windowUpdated on December 22, 2021"consultation,draft,regulation respecting complaint processing and dispute resolution in the financial sector,regulation on complaint processing,complaint definition, complaint,complaints officier,ombudsman,complaint processing and dispute resolution policy,complaint process practices,summary,prohibitions,administrative penalties,dispute resolution,fair processing of complaints,complaint process rules and practices,complaint register,complaint records"
• Industrielle Alliance Gestion privée de patrimoine et Investia Services financiers (Julie Gallagher et Stéphane Blanchette) (pdf - 803 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Kaleido Croissance Inc. (Mia Malone) (pdf - 203 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Kenmar Associates (Ken Kivenko) (pdf - 339 KB)This link will open in a new windowUpdated on December 15, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Mailloux & associés (Michel Mailloux) (pdf - 227 KB)This link will open in a new windowUpdated on December 15, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• MICA Capital Inc. (Gino Sebastian Savard et Yvan Morin) (pdf - 814 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Mouvement Desjardins (Bernard Brun) (pdf - 5 MB)This link will open in a new windowUpdated on December 22, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Option consommateurs (pdf - 263 KB)This link will open in a new windowUpdated on December 15, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Primerica Financial Services Canada Ltd (Linda Anderson) (pdf - 227 KB)This link will open in a new windowUpdated on December 15, 2021"consultation,draft,regulation respecting complaint processing and dispute resolution in the financial sector,regulation on complaint processing,complaint definition, complaint,complaints officier,ombudsman,complaint processing and dispute resolution policy,complaint process practices,summary,prohibitions,administrative penalties,dispute resolution,fair processing of complaints,complaint process rules and practices,complaint register,complaint records"
• Regroupement des cabinets de courtage d’assurance du Québec (pdf - 362 KB)This link will open in a new windowUpdated on December 15, 2021
• Trans Union du Canada Inc. (Johanna FitzPatrick) (pdf - 207 KB)This link will open in a new windowUpdated on December 22, 2021
• Trans Union of Canada Inc. (Johanna FitzPatrick) (pdf - 611 KB)This link will open in a new windowUpdated on December 22, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Union des consommateurs (pdf - 371 KB)This link will open in a new windowUpdated on December 15, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Valeurs mobilières Banque Laurentienne (Ihab Dabboussi) (pdf - 60 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"

• Notice of consultation (pdf - 24 KB)This link will open in a new windowUpdated on October 28, 2021Ligne directrice;gestion des risques;technologies;information;des communications;avis;consultation publique;mars 2019
• Guideline on margins for over-the-counter derivatives not cleared by a central counterparty (pdf - 516 KB)This link will open in a new windowUpdated on October 27, 2021Guideline on margins for over-the-counter derivatives not cleared by a central counterparty