• Notice of consultation (pdf - 135 KB)This link will open in a new windowUpdated on December 2, 2021Proposal to Establish a CSA Investor Advisory Panel

• 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"

Amendments regarding the Prohibition of Deferred Sales Charges for Investment Funds

• Regulatory Notice and consultation (pdf - 31 KB)This link will open in a new windowUpdated on October 21, 2021Amendments regarding the Prohibition of Deferred Sales Charges for Investment Funds.
• Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices (pdf - 9 KB)This link will open in a new windowUpdated on October 21, 2021Amendments regarding the Prohibition of Deferred Sales Charges for Investment Funds.;
• Amendments to Companion Policy 81-105: Mutual Fund Sales Practices (pdf - 10 KB)This link will open in a new windowUpdated on October 21, 2021Amendments regarding the Prohibition of Deferred Sales Charges for Investment Funds;
• Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 9 KB)This link will open in a new windowUpdated on October 21, 2021Amendments regarding the Prohibition of Deferred Sales Charges for Investment Funds.;
• Amendments to Policy Statement to Regulation 31-103 (pdf - 10 KB)This link will open in a new windowUpdated on October 21, 2021Amendments regarding the Prohibition of Deferred Sales Charges for Investment Funds.;
• Regulation to amend Regulation 81-101 respecting Mutual Fund Prospectus Disclosure (pdf - 12 KB)This link will open in a new windowUpdated on October 21, 2021Amendments regarding the Prohibition of Deferred Sales Charges for Investment Funds;
• Amendments to Policy Statement to Regulation 81-101 (pdf - 80 KB)This link will open in a new windowUpdated on October 21, 2021Amendments regarding the Prohibition of Deferred Sales Charges for Investment Funds..

• Regulatory Notice (pdf - 17 KB)This link will open in a new windowUpdated on October 21, 2021Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1.
• Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 9 KB)This link will open in a new windowUpdated on October 7, 2021;
• Regulation to amend Regulation 45-106 respecting Prospectus Exemptions (pdf - 9 KB)This link will open in a new windowUpdated on October 7, 2021.

• Regulatory Notice (pdf - 17 KB)This link will open in a new windowUpdated on July 27, 2021Amendments to introduce the Listed Issuer Financing Exemption.
• CSA Notice of consultation (pdf - 124 KB)This link will open in a new windowUpdated on July 27, 2021Amendments to introduce the Listed Issuer Financing Exemption.
• Regulation to amend Regulation 45-106 (pdf - 108 KB)This link will open in a new windowUpdated on July 27, 2021Amendments to introduce the Listed Issuer Financing Exemption.
• Amendments to Policy Statement to Regulation 45-106 (pdf - 63 KB)This link will open in a new windowUpdated on July 27, 2021Amendments to introduce the Listed Issuer Financing Exemption.
• Regulation to amend Regulation 13-101 respecting the System for Electronic Document Analysis and Retrieval (SEDAR) (pdf - 9 KB)This link will open in a new windowUpdated on July 27, 2021
• Regulation to amend Regulation 45-102 respecting Resale of Securities (pdf - 35 KB)This link will open in a new windowUpdated on July 27, 2021Amendments to introduce the Listed Issuer Financing Exemption.
   

Comments received (comments are published in their original language)

• Canadian Advocacy Council of CFA Societies Canada (pdf - 211 KB)This link will open in a new windowUpdated on October 27, 2021Comment Letter - Listed Issuer Prospectus Exemption
• Canadian Foundation for Advancement of Investor Rights (pdf - 231 KB)This link will open in a new windowUpdated on November 9, 2021Projet de Règlement modifiant le Règlement 45-106 sur les dispenses de prospectus en vue d’introduire la dispense pour financement de l’émetteur coté (Jean-Paul Bureaud)
• Davies (pdf - 270 KB)This link will open in a new windowUpdated on October 27, 2021Projet de Règlement modifiant le Règlement 45-106 sur les dispenses de prospectus en vue d’introduire la dispense pour financement de l’émetteur coté, Robert S. Murphy, Robert S. Murphy, Jordan Lavi
• DuMoulin Black LLP (pdf - 178 KB)This link will open in a new windowUpdated on November 22, 2021Letter to BCSC re Listed Issuer Financing Exemption (1) (Jason T. Sutherland, David Gunasekera, Cachelin Hall)
• Forooghian+Co (pdf - 304 KB)This link will open in a new windowUpdated on November 9, 2021Projet de Règlement modifiant le Règlement 45-106 sur les dispenses de prospectus en vue d’introduire la dispense pour financement de l’émetteur coté
• McMillan (pdf - 722 KB)This link will open in a new windowUpdated on November 1^st, 2021Comment Letter-CSA Proposal (Charlotte Conlin, Paul Davis, Troy Hilson, Michelle Ho, Leila Rafi, Ouvedi Rama Naiken, Sandra Zhao)
• Investment Industry Association of Canada (pdf - 150 KB)This link will open in a new windowUpdated on October 26, 2021Projet de Règlement modifiant le Règlement 45-106 sur les dispenses de prospectus en vue d’introduire la dispense pour financement de l’émetteur coté, Susan Copland
• Prospectors & Developers Association of Canada (pdf - 602 KB)This link will open in a new windowUpdated on October 27, 2021Response to Proposed Amendments to NI 45-106 Prospectus Exemptions
• TMX (pdf - 210 KB)This link will open in a new windowUpdated on November 4, 2021TMX Comment Letter - Proposed Amendments to NI 45-106 (Loui Anastasopoulos)

• CSA Notice of Consultation (pdf - 92 KB)This link will open in a new windowUpdated on August 11, 2021Financial Statement Requirements
• Amendments to Policy Statement to Regulation 41-101 respecting General Prospectus Requirements (pdf - 58 KB)This link will open in a new windowUpdated on August 11, 2021Financial Statement Requirements;
• Amendments to Policy Statement to Regulation 51-102 respecting Continuous Disclosure Obligations (pdf - 16 KB)This link will open in a new windowUpdated on August 11, 2021Financial Statement Requirements..

Comments received (comments are published in their original language)

• Fasken Martineau DuMoulin LLP (pdf - 179 KB)This link will open in a new windowUpdated on October 21, 2021Fasken comments Primary Business final filed
• Goodmans LLP (pdf - 159 KB)This link will open in a new windowUpdated on October 21, 2021GOODMANS-Comments_on_CSA_Notice_and_Request_for_Comment_re__Proposed_Changes_to_Companion_Policy_41-101CP
• Osler, Hoskin & Harcourt LLP (pdf - 256 KB)This link will open in a new windowUpdated on October 21, 2021CSA Consultation 41-101CP - Osler comment letter
• PricewaterhouseCoopers LLP (pdf - 135 KB)This link will open in a new windowUpdated on October 21, 2021PwC Comment Letter NI41-101
• Stikeman Elliott (pdf - 414 KB)This link will open in a new windowUpdated on October 21, 2021Comment Letter - Proposed Amendments to CP 41-101
• TMX Group (pdf - 105 KB)This link will open in a new windowUpdated on October 21, 2021TSX_TSXV Comment Letter - 41-101 - Primary Business Requirements
• Torys LLP (pdf - 196 KB)This link will open in a new windowUpdated on October 21, 2021Torys Comment Letter on Primary Business Requirements

Consultation document (pdf - 553 KB)This link will open in a new windowUpdated on August 2, 2021New Self-Regulatory Organization Framework

Comments received (comments are published in their original language)

• Advocis (pdf - 261 KB)This link will open in a new windowUpdated on October 15, 2021Lettre de commentares sur l'énoncé 25-404
• Aligned Capital Partners Inc. (pdf - 3 MB)This link will open in a new windowUpdated on October 15, 2021Lettre de commentaires sur l'énoncé 25-404
• Archer gestion de patrimoine (pdf - 126 KB)This link will open in a new windowUpdated on October 22, 2021Commentaires 25-404 nouvel OAR
• Canadian Advocacy Council of CFA Societies Canada (pdf - 200 KB)This link will open in a new windowUpdated on October 15, 2021Comment letter on consultation paper 25-404
• CI Assante Wealth Management (pdf - 155 KB)This link will open in a new windowUpdated on October 15, 2021Comment letter on consultation paper 25-404
• Conseil des fonds d'investissement du Québec (pdf - 408 KB)This link will open in a new windowUpdated on October 18, 2021Commentaires 25-404 sur le nouvel OAR
• Ernest Ilson (pdf - 44 KB)This link will open in a new windowUpdated on August 25, 2021Énoncé de position 25-404 des ACVM: Nouveau cadre réglementaire des organismes d'autoréglementation
• Fair Canada (pdf - 254 KB)This link will open in a new windowUpdated on October 15, 2021Lettre de commentaires
• Federation of Mutual Fund Dealers (pdf - 654 KB)This link will open in a new windowUpdated on October 15, 2021Comment letter on consultation paper 25-404
• Goldstein Financial Investments Inc. (pdf - 62 KB)This link will open in a new windowUpdated on October 26, 2021Comment letter on consultation paper 25-404
• IA Financial Group (pdf - 228 KB)This link will open in a new windowUpdated on October 15, 2021Comment letter on consultation paper 25-404
• IG Wealth Management (pdf - 106 KB)This link will open in a new windowUpdated on October 15, 2021Lettre des commentaires sur l'énoné 25-404
• Independent Financial Brokers of Canada (pdf - 239 KB)This link will open in a new windowUpdated on October 15, 2021Comment letter on consultation paper 25-404
• Investment Industry Association of Canada (pdf - 310 KB)This link will open in a new windowUpdated on October 5, 2021Lettre de commentaires sur l'énoncé 25-404
• Kenmar Associates (pdf - 496 KB)This link will open in a new windowUpdated on September 16, 2021Commentaire reçu pour la consultation publique 25-404
• Learnedly (pdf - 51 KB)This link will open in a new windowUpdated on October 15, 2021New SRO Framework
• Manulife (pdf - 169 KB)This link will open in a new windowUpdated on October 15, 2021Manulife sur l'énoncé 25-404
• MICA Capital (pdf - 621 KB)This link will open in a new windowUpdated on September 29, 2021Commentaires de MICA Capital inc sur l'énoncé 25-404 des ACVM
• Mouvement Desjardins (pdf - 160 KB)This link will open in a new windowUpdated on October 18, 2021Lettre de commentaires sur l'enonce 25-404
• PFSL investments Canada Ltd. (pdf - 174 KB)This link will open in a new windowUpdated on October 5, 2021Lettre de commentaires sur l'énoncé 25-404
• Portfolio Management Association of Canada (pdf - 207 KB)This link will open in a new windowUpdated on October 15, 2021Lettre de commentaires sur l'énoncé 25-404
• Quadrus Investment Services Ltd (pdf - 159 KB)This link will open in a new windowUpdated on October 21, 2021Comment letter on consultation paper 25-404
• RBC (pdf - 283 KB)This link will open in a new windowUpdated on October 15, 2021Comment letter on consultation paper 25-404
• TD Bank Group (pdf - 238 KB)This link will open in a new windowUpdated on October 15, 2021comment letter
• The Canadian Institute of Financial Planning (pdf - 71 KB)This link will open in a new windowUpdated on October 15, 2021Lettre de commentaires sur l'énoné 25-404
• The Canadian Securities Institute (CSI) (pdf - 157 KB)This link will open in a new windowUpdated on October 15, 2021Comment letter on Consultation Paper 25-404
• The Investment Funds Institute of Canada (pdf - 475 KB)This link will open in a new windowUpdated on October 21, 2021Cimment letter on consultaion paper 25-404
• TMX Group (pdf - 118 KB)This link will open in a new windowUpdated on October 21, 2021Comment letter on consultation paper 25-404
• Université Laval, Faculté de droits, Groupe de recherche en droit des services financiers (pdf - 1 MB)This link will open in a new windowUpdated on October 5, 2021Lettre de commentaires sur l'énoncé 25-404

• Regulatory Notice (pdf - 24 KB)This link will open in a new windowUpdated on May 18, 2021;
• CSA Notice of consultation (pdf - 355 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 51-102 (pdf - 372 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendment to Policy Statement to Regulation 51-102 (pdf - 62 KB)This link will open in a new windowUpdated on May 18, 2021.

Concordant amendments to regulations and policy statement

• Amendments to Policy Statement 11-201 respecting Electronic Delivery of Documents (pdf - 10 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendments to Policy Statement 11-206 respecting Process for Cease to be a Reporting Issuer Applications (pdf - 10 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendments to Policy Statement 11-207 respecting Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions (pdf - 13 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendments to Policy Statement 12-202 respecting Revocation of Certain Cease Trade Orders (pdf - 12 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendments to Policy Statement 12-203 respecting Management Cease Trade Orders (pdf - 16 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 13-101 respecting the System for Electronic Document Analysis and Retrieval (SEDAR) (pdf - 10 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 41-101 respecting General Prospectus Requirements (pdf - 56 KB)This link will open in a new windowUpdated on May 18, 2021;.
• Amendments to Policy Statement to Regulation 41-101 (pdf - 12 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendments to Policy Statement 41-201 respecting Income Trusts and Other Indirect Offerings (pdf - 13 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 43-101 respecting Standards of Disclosure for Mineral Projects (pdf - 13 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendments to Policy Statement to Regulation 43-101 (pdf - 9 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 44-101 respecting Short Form Prospectus Distributions (pdf - 55 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendments to Policy Statement to Regulation 44-101 (pdf - 19 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 44-102 respecting Shelf Distributions (pdf - 33 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 45-106 respecting Prospectus Exemptions (pdf - 20 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendments to Policy Statement to Regulation 45-106 (pdf - 9 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 45-108 respecting Crowdfunding (pdf - 12 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend National Policy 46-201: Escrow for Initial Public Offerings (pdf - 13 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 51-101 respecting Standards of Disclosure for Oil and Gas Activities (pdf - 13 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendments to Policy Statement to Regulation 51-101 (pdf - 9 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 51-105 respecting Issuers Quoted in the U.S. Over the Counter Markets (pdf - 9 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendments to National Policy 51-201: Disclosure Standards (pdf - 9 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 52-109 respecting Certification of Disclosure in Issuers’ Annual and Interim Filings (pdf - 47 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendments to Policy Statement to Regulation 52-109 (pdf - 9 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 52-110 respecting Audit Committees (pdf - 10 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendments to Policy Statement to Regulation 52-110 (pdf - 8 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 54-101 respecting Communication with Beneficial Owners of Securities of a Reporting Issuer (pdf - 13 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendments to Policy Statement to Regulation 54-101 (pdf - 18 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 55-104 respecting Insider Reporting Requirements and Exemptions (pdf - 13 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 58-101 respecting Disclosure of Corporate Governance Practices (pdf - 15 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 61-101 respecting Protection of Minority Security Holders in Special Transactions (pdf - 13 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 62-103 respecting the Early Warning System and Related Take-Over Bid and Insider Reporting Issues (pdf - 9 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 71-102 respecting Continuous Disclosure and Other Exemptions Relating to Foreign Issuers (pdf - 42 KB)This link will open in a new windowUpdated on May 18, 2021;
• Amendments to Policy Statement to Regulation 71-102 (pdf - 9 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 81-101 respecting Mutual Fund Prospectus Disclosure (pdf - 10 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend Regulation 81-102 respecting Investment Funds (pdf - 9 KB)This link will open in a new windowUpdated on May 18, 2021;
• Regulation to amend the Securities Regulation (pdf - 9 KB)This link will open in a new windowUpdated on May 18, 2021.

Comments received (comments are published in their original language)

• Association canadienne du commerce des valeurs mobilières (pdf - 376 KB)This link will open in a new windowUpdated on September 16, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue
• Bennett Jones LLP (pdf - 52 KB)This link will open in a new windowUpdated on September 27, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue
• Blakes, Cassels & Graydon LLP (pdf - 228 KB)This link will open in a new windowUpdated on September 17, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Steven McKoen et Matthew Merkley)
• Broadridge Investor Communications Corporation (pdf - 2 MB)This link will open in a new windowUpdated on September 13, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Martha Moen)
• Canadian Advocacy Council of CFA Societies Canada (pdf - 225 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue(The)
• Canadian Bankers Association (pdf - 253 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue
• Canadian Coalition for Good Governance (pdf - 147 KB)This link will open in a new windowUpdated on September 17, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Marcia Moffat)
• Canadian Investor Relations Institute (pdf - 252 KB)This link will open in a new windowUpdated on September 17, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Yvette Lokker)
• Canadian Natural Resources Limited (pdf - 230 KB)This link will open in a new windowUpdated on October 6, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue
• Canadian Public Accountability Board (pdf - 250 KB)This link will open in a new windowUpdated on September 16, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Carol A. Paradine)
• Cenovus Energy Inc. (pdf - 149 KB)This link will open in a new windowUpdated on October 6, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Gary F. Molnar et Neil W. Robertson)
• Chartered Professional Accountants Canada (pdf - 262 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Gordon Beal)
• Conseil canadien sur la reddition de comptes (pdf - 250 KB)This link will open in a new windowUpdated on September 16, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue
• Davies Ward Phillips & Vineberg LLP (pdf - 284 KB)This link will open in a new windowUpdated on September 17, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Robin Upshall et Sebastien Roy)
• Deloitte LLP (pdf - 123 KB)This link will open in a new windowUpdated on September 23, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue
• Ernst & Young LLP (pdf - 170 KB)This link will open in a new windowUpdated on September 17, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue
• Fidelity Investments Canada ULC (pdf - 192 KB)This link will open in a new windowUpdated on September 17, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Rob Sklar)
• Great-West Lifeco Inc. (pdf - 218 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Jeremy W. Trickett)
• IGM Financial Inc. (pdf - 162 KB)This link will open in a new windowUpdated on September 17, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Ian Lawrence)
• Investment Industry Association of Canada (pdf - 376 KB)This link will open in a new windowUpdated on September 16, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Susan Copland)
• KPMG LLP (pdf - 154 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Brad Owen)
• Manulife (pdf - 256 KB)This link will open in a new windowUpdated on September 16, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (James D. Gallagher)
• Marrelli Support Services (pdf - 117 KB)This link will open in a new windowUpdated on August 11, 2021
• McCarthy Tétrault LLP (pdf - 24 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Jessica Brown et Michael J. Eldridge)
• MNP LLP (pdf - 205 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (David Danziger)
• Norton Rose Fulbright Canada LLP (pdf - 145 KB)This link will open in a new windowUpdated on September 17, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue
• Nutrien Ltd. (pdf - 168 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Janice Anderson)
• Power Corporation of Canada (pdf - 179 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Stéphane Lemay)
• Prospectors & Developers Association of Canada (pdf - 710 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Lisa McDonald)
• PWC LLP (pdf - 191 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue
• Siskinds LLP (pdf - 244 KB)This link will open in a new windowUpdated on September 16, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Jared S. Rosenbaum)
• Stikeman Elliott LLP (pdf - 257 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue(Laura Levine)
• Sun Life Financial Inc. (pdf - 221 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Melissa Kennedy)
• TC Energy Corporation (pdf - 188 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Christine R. Johnston)
• TMX Group (pdf - 310 KB)This link will open in a new windowUpdated on September 27, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Loui Anastasopoulos)
• Torys (PDF - 169 KB)This link will open in a new windowUpdated on September 20, 2021Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations and concordant regulations - Annual and Interim Filings of Non-Investment Fund Reporting Issue (Janet Holmes, Jim S. Hong, Glen R. Johnson, Karrin Powys-Lybbe, Rima Ramchandani, David Seville et Michael Zackheim)

• Regulatory Notice (pdf - 22 KB)This link will open in a new windowUpdated on April 28, 2021Regulatory notice for draft Regulation to amend Regulation 25-102.
• CSA Notice of Consultation (pdf - 142 KB)This link will open in a new windowUpdated on April 28, 2021CSA Notice of Consultation about Draft Regulation to amend Regulation 25-102 and amendments to Policy Statement.
• Draft Regulation to amend Regulation 25-102 respecting Designated Benchmarks and Benchmark Administrators (pdf - 79 KB)This link will open in a new windowUpdated on April 28, 2021Draft Regulation to amend Regulation 25-102.
• Draft Amendments to Policy Statement to Regulation 25-102 respecting Designated Benchmarks and Benchmark Administrators (pdf - 85 KB)This link will open in a new windowUpdated on April 28, 2021Draft Amendments to Policy Statement to Regulation 25-102

• Regulatory Notice (pdf - 67 KB)This link will open in a new windowUpdated on April 22, 2021
• CSA Notice of Consultation (pdf - 63 KB)This link will open in a new windowUpdated on April 22, 2021CSA Notice of Consultation
• Regulation to amend Regulation 14-101 respecting Definitions (pdf - 67 KB)This link will open in a new windowUpdated on April 22, 2021
• Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 16 KB)This link will open in a new windowUpdated on April 22, 2021Concordant amendments to Regulation 14-101
• Regulation to amend Regulation 45-106 respecting Prospectus Exemptions (pdf - 14 KB)This link will open in a new windowUpdated on April 22, 2021Concordant amendments to Regulation 14-101.
• Regulation to amend Regulation 62-103 respecting the Early Warning System and Related Take-Over Bid and Insider Reporting Issues (pdf - 15 KB)This link will open in a new windowUpdated on April 22, 2021Concordant amendments to Regulation 14-101.
• Regulation to amend Regulation 94-102 respecting Derivatives: Customer Clearing and Protection of Customer Collateral and Positions (pdf - 15 KB)This link will open in a new windowUpdated on April 22, 2021Concordant amendments to Regulation 14-101.