• Regulatory Notice (pdf - 120 KB)This link will open in a new windowUpdated on August 1^st, 2024
• CSA Notice of Consultation (pdf - 262 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Regulation to amend Regulation 41-101 respecting General Prospectus Requirements (pdf - 144 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Regulation to amend Regulation 44-101 respecting Short Form Prospectus Distributions (pdf - 115 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Amendments to Policy Statement to Regulation 44-101 respecting Short Form Prospectus Distributions (pdf - 127 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Regulation to amend Regulation 45-106 respecting Prospectus Exemptions (pdf - 110 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Regulation to amend Regulation 45-513 respecting Prospectus Exemption for Distribution to Existing Security Holders (pdf - 125 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Regulation to amend National Policy 46-201: Escrow For Initial Public Offerings (pdf - 162 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (pdf - 138 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Regulation 51-105 respecting Issuers Quoted in the U.S. Over-the-Counter Markets (pdf - 128 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Regulation 52-109 respecting Certification of Disclosure in Issuers’ Annual and Interim Filings (pdf - 158 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Amendments to Policy Statement to Regulation 52-109 respecting Certification of Disclosure in Issuers' Annual and Interim Filings (pdf - 143 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Regulation to amend Regulation 52-110 respecting Audit Committees (pdf - 156 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Regulation to amend Regulation 58-101 respecting Disclosure of Corporate Governance Practices (pdf - 159 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Regulation to amend Regulation 61-101 respecting Protection of Minority Security Holders in Special Transactions (pdf - 135 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Regulation to amend Regulation 62-104 respecting Take-Over Bids and Issuer Bids (pdf - 111 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Regulation to amend Regulation 71-102 respecting Continuous Disclosure and Other Exemptions Relating to Foreign Issuers (pdf - 127 KB)This link will open in a new windowUpdated on August 1^st, 2024
• Regulation to amend Regulation 81-101 respecting Mutual Fund Prospectus Disclosure (pdf - 127 KB)This link will open in a new windowUpdated on August 1^st, 2024.

• Regulatory Notice (pdf - 101 KB)This link will open in a new windowUpdated on May 30, 2024Regulatory Notice about Regulation to amend Regulation 25-102.
• CSA Notice of consultation (pdf - 312 KB)This link will open in a new windowUpdated on May 30, 2024CSA Notice of Consultation about Draft Regulation to amend Regulation 25-102.
• Regulation to amend Regulation 25-102 (pdf - 170 KB)This link will open in a new windowUpdated on May 30, 2024Draft Regulation to amend Regulation 25-102.
• Changes to Policy Statement to Regulation 25-102 (pdf - 190 KB)This link will open in a new windowUpdated on May 30, 2024Draft Changes to Policy Statement to Regulation 25-102

Comments received (comments are published in their original language)

• Candeal Benchmark Solutions (pdf - 283 KB)This link will open in a new windowUpdated on August 21, 2024 (Ruxandra Smith)

• Notice of consultation (pdf - 108 KB)This link will open in a new windowUpdated on July 18, 2024Notice of consultation relating to amendement to Securities Regulation.
• Regulation to amend Securities Regulation (pdf - 138 KB)This link will open in a new windowUpdated on July 18, 2024Draft amendments to Securities Regulation

• Regulatory and consultation Notice (pdf - 147 KB)This link will open in a new windowUpdated on May 23, 2024Notice of consultation concerning local amendments to Regulation 25-102 respecting Designated Benchmarks and Benchmark Administrators
• Regulation to amend Regulation 25-102 respecting Designated Benchmarks and Benchmark Administrators (pdf - 142 KB)This link will open in a new windowUpdated on May 23, 2024Draft local amendments to Regulation 25-102 respecting Designated Benchmarks and Benchmark Administrators.
• Amendments to Policy Statement to Regulation 25-102 respecting Designated Benchmarks and Benchmark Administrators (pdf - 205 KB)This link will open in a new windowUpdated on May 23, 2024Draft of local Amendments to Policy Statement to Regulation 25-102 respecting Designated Benchmarks and Benchmark Administrators

Anyone interested in participating in this consultation may do so in writing no later than Jun 14, 2024 by completing the on-line questionnaire or sending a submission or comment letter by using our on-line form or to [email protected]

Issues and Discussion Paper (pdf - 1 MB)This link will open in a new windowUpdated on February 8, 2024Since 2016, the AMF has undertaken various mission-aligned initiatives relating to the digital transformation of the financial sector to, in particular, anticipate regulatory and consumer protection issues. In November 2021, it made a clear statement of its interest in the responsible use of artificial intelligence (AI) by signing the Montréal Declaration for responsible AI development and by publishing the paper Artificial intelligence in finance – Recommendations for its responsible use (the 2021 Report), a report prepared at the AMF’s request by Algora Lab, an interdisciplinary lab of the University of Montréal and the Institut québécois d’intelligence artificielle (Mila). The 2021 Report sets out 10 recommendations to promote the responsible development of AI in finance: three directed toward the AMF and seven toward the industry.

If your are interested by participating in discussion tables or give your comments through an on-line meeting, consult the AI in the financial sector page.

• Regulatory Notice (pdf - 103 KB)This link will open in a new windowUpdated on January 17, 2024Crypto Assets
• CSA Notice of Consultation (pdf - 258 KB)This link will open in a new windowUpdated on January 17, 2024Notice of consultation - crypto asset.
• Regulation to amend Regulation 81-102 (pdf - 128 KB)This link will open in a new windowUpdated on January 17, 2024Crypto Asset. 
• Amendments to Policy Statement 81-102 (pdf - 152 KB)This link will open in a new windowUpdated on January 17, 2024Crypto Asset

Comments received (comments are published in their original language)

• Alternative Investment Management Association (pdf - 221 KB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs
• Canadian Blockchain Consortium (pdf - 279 KB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets
• Canadian Web3 Council (pdf - 224 KB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets
• Borden Ladner Gervais (pdf - 99 KB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets (C. Derk, J. Mansi, J. Brooks, J. Doll, I. Gomez)
• Chartered Professional Accountants of Canada (pdf - 234 KB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets (Rosemary McGuire)
• CIBC Mellon Global Securities Services Company Inc., CIBC Mellon Trust Company (pdf - 241 KB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets (Richard Anton, Tedford Mason, Ronald C. Landry, Brent Merriman)
• F. Soto (pdf - 101 KB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets
• Investment Industry Association of Canada (pdf - 270 KB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets (Laura Paglia)
• Investor Advisory Panel (pdf - 64 KB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets (Ilana Siger)
• Fasken (pdf - 268 KB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets (J. Kruk, J. Halwagi, D. Fuke, M. Ciecha)
• Mouvement Desjardins (pdf - 370 KB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets (Giuseppina Marra)
• Purpose Investments Inc. (pdf - 3 MB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets (Vlad Tasevski)
• Quanta Law Professional Corporation (pdf - 229 KB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets (Bekhzod Nazarov)
• Tetra Trust Company (pdf - 169 KB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets (Stephen Oliver)
• Wildeboer Dellelce LLP (pdf - 294 KB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets
• 3iQ Corp. (pdf - 1 MB)This link will open in a new windowUpdated on May 15, 2024Avis de consultation des ACVM – Projets de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement et de modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement concernant les cryptoactifs / CSA Notice of Consultation – Draft Regulation to amend Regulation 81-102 respecting Investment Funds and Draft Amendments to Policy Statement to Regulation 81-102 respectingInvestment Funds pertaining to crypto assets (Pascal St. Jean)

• Regulatory Notice (pdf - 105 KB)This link will open in a new windowUpdated on November 30, 2023Consultation about Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service.
• CSA Notice of Consultation (pdf - 532 KB)This link will open in a new windowUpdated on November 30, 2023CSA Notice of consultation of Regulation to amend Regulation 31-103 concerning Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service.
• Regulation to amend Regulation 31-103 (pdf - 124 KB)This link will open in a new windowUpdated on November 30, 2023Draft Regulation to amend Regulation 31-103 concerning Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service. 
  • Blacklined version (pdf - 2 MB)This link will open in a new windowUpdated on December 11, 2023Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations in force since December 31, 2019
• Amendments to Policy Statement to Regulation 31-103 (pdf - 217 KB)This link will open in a new windowUpdated on November 30, 2023Draft amendments to Policy Statement to Regulation 31-103 concerning Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service.
  • Blacklined version (pdf - 1 MB)This link will open in a new windowUpdated on December 11, 2023Consolidated version of Policy Statement to Regulation 31-103

Comments received (comments are published in their original language)

• Anatol Feldman (pdf - 95 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients”
• Andrew Teasdale (pdf - 257 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients”
• Arthur Ross (pdf - 154 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients”
• Association of Canadian Compliance Professionals (pdf - 237 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Manny DaSilva, Gary Legault)
• Belco (pdf - 583 KB)This link will open in a new windowUpdated on March 19, 2024 (Jonathon Botrie)
• Borden Ladner Gervais (pdf - 247 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Natalia Vandervoort, Melissa Ghislanzoni, Bill Donegan)
• The Canadian Advocacy Council of CFA Societies Canada (pdf - 831 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients”
• Canadian Association of Retired Persons (pdf - 231 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Bill Vangorder)
• Canadian Investment Regulatory Organization (pdf - 60 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Jennifer I. Armstrong)
• Organisme Canadien de réglementation d’investissements (pdf - 65 KB)This link will open in a new windowUpdated on March 28, 2024Projet de règlement modifiant le Règlement 31-103 sur les obligations de la société inscrite relatives au service indépendant de règlement des différends (Jennifer I. Armstrong)
• Canadian Investment Regulatory Organization Investor Advisor Panel (pdf - 132 KB)This link will open in a new windowUpdated on March 5, 2024“consultation,projet,règlement modifiant le règlement 31-103,plainte,ombudsman,service de règlement des différends,service indépendant de règlement des différends,OSBI,exécutoire,décision définitive exécutoire,service de médiation,service de médiation visé,commentaire,dispense,québec,protection des investisseurs,investisseurs individuels,clients individuels“
• Comité consultatif des investisseurs de l’Organisme canadien de réglementation des investissements (pdf - 131 KB)This link will open in a new windowUpdated on March 5, 2024“consultation,projet,règlement modifiant le règlement 31-103,plainte,ombudsman,service de règlement des différends,service indépendant de règlement des différends,OSBI,exécutoire,décision définitive exécutoire,service de médiation,service de médiation visé,commentaire,dispense,québec,protection des investisseurs,investisseurs individuels,clients individuels“
• Canadian Securities Administrators Investor Advisory Panel (pdf - 203 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Eric Spink)
• Chris Robinson (pdf - 115 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients”
• Coalition of Consumer Advocates (pdf - 409 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Jean-Paul Bureaud et al.)
• Coalition de défenseurs des intérêts des consommateurs (pdf - 497 KB)This link will open in a new windowUpdated on March 5, 2024“consultation,projet,règlement modifiant le règlement 31-103,plainte,ombudsman,service de règlement des différends,service indépendant de règlement des différends,OSBI,exécutoire,décision définitive exécutoire,service de médiation,service de médiation visé,commentaire,dispense,québec,protection des investisseurs,investisseurs individuels,clients individuels“ (Jean-Paul Bureaud et al.)
• David M. Fieldstone (pdf - 569 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients”
• Mouvement Desjardins (pdf - 216 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Giuseppina Marra)
• Fidelity Investments (pdf - 204 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (W. Sian Burgess)
• Federation of Mutual Fund Dealers (pdf - 319 KB)This link will open in a new windowUpdated on March 6, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Matthiew Latimer)
• Geller Law (pdf - 288 KB)This link will open in a new windowUpdated on March 20, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Harold Geller)
• Getz Prince Wells LLP (pdf - 4 MB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Dana H. Prince)
• Harvey Naglie (pdf - 186 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients”
• Haywood securities inc. (pdf - 179 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Robert C. Blanchard)
• Investment Funds Institute of Canada (pdf - 385 KB)This link will open in a new windowUpdated on March 1^st, 2024 (Andy Mitchell)
• IG Wealth Management (pdf - 193 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Danielle Tetrault)
• Investment Industry Association of Canada (pdf - 968 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Laura Paglia)
• Kenmar Associates (pdf - 628 KB)This link will open in a new windowUpdated on March 20, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Ken Kivenko)
• Ontario Securities Commission Investor Advisory Panel (pdf - 308 KB)This link will open in a new windowUpdated on March 5, 2024 (Ilana Singer)
• Leede Jones Gable (pdf - 152 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Jim Dale)
• M3 Securities (pdf - 160 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Kyle Touet)
• Odlum Brown (pdf - 128 KB)This link will open in a new windowUpdated on March 28, 2024Draft regulation to amend regulation 31-103 pertaining to an independent dispute resolution service (Debra A. Doucette)
• Ombudsman for banking services and investments (pdf - 376 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Sarah P. Bradley)
• Osgoode (pdf - 352 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Brigitte Catellier, Azka Anees, Diana Damiani, Ayisha Mik)
• Pacific Spririt Investment Management inc. (pdf - 264 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (John S. Clark)
• Peter Whitehouse (pdf - 131 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients”
• PI Financial Corp. (pdf - 103 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Richard Thomas)
• Portfolio Management Association of Canada (pdf - 287 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Katie Walmsley, Warren M. Rudick)
• Portfolio Strategies (pdf - 307 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Mark S. Kent)
• Primerica (pdf - 171 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (John A. Adams)
• Private Capital Markets Association of Canada (pdf - 1 MB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Rob Hanson)
• Rick Price (pdf - 262 KB)This link will open in a new windowUpdated on March 5, 2024: “consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients”
• Tri View Capital Ltd (pdf - 315 KB)This link will open in a new windowUpdated on March 5, 2024 (Craig Burrows)
• Worldsource Wealth Management (pdf - 151 KB)This link will open in a new windowUpdated on March 5, 2024“consulfation,draft,regulation to amend regulation 31-103,complaint,ombudsman,dispute resolution services,independent dispute resolution service,OBSI,binding,binding final decision,ombuservice,identified ombudservice,comment,exempt,exemption,quebec,investor protection, retail investors, retail clients” (Natasa Morfesis, Doce Tomic)

• Regulatory Notice (pdf - 105 KB)This link will open in a new windowUpdated on October 18, 2023Regulatory Notice for draft Regulation to amend Regulation 81-102 respecting Investment Funds
• CSA Notice and Request for Comment (pdf - 217 KB)This link will open in a new windowUpdated on October 18, 2023CSA Notice and Request for Comment concerning Draft Regulation to amend Regulation 81-102 respecting Investment Funds
• Regulation to amend Regulation 81-102 respecting Investment Funds (pdf - 118 KB)This link will open in a new windowUpdated on October 18, 2023Draft Regulation to amend Regulation 81-102 respecting Investment Funds.

Comments received (comments are published in their original language)

• The Investment Funds Institute of Canada (Andy Mitchell) (pdf - 372 KB)This link will open in a new windowUpdated on January 23, 2024Avis de consultation des ACVM – Projet de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement / CSA Notice and Request for Comment – Regulation to amend Regulation 81-102 respecting Investment Funds
• W. Wakeling, R. Lotay, D. Spagnolo, M. Ghislanzon (pdf - 1 MB)This link will open in a new windowUpdated on January 23, 2024Avis de consultation des ACVM – Projet de Règlement modifiant le Règlement 81-102 sur les fonds d’investissement / CSA Notice and Request for Comment – Regulation to amend Regulation 81-102 respecting Investment Funds

• Regulatory Notice (pdf - 108 KB)This link will open in a new windowUpdated on September 21, 2023Regulatory notice about the amendements to Regulation 44-102 and concordants.
• CSA Notice of consultation (pdf - 286 KB)This link will open in a new windowUpdated on September 21, 2023CSA Notice of Consultation concening the amendments to Regulation 44-102 and concordants Relating to Well-known Seasoned Issuers.
• Regulation to amend Regulation 44-102 respecting Shelf Distributions (pdf - 156 KB)This link will open in a new windowUpdated on September 21, 2023Draft amendments to Regualation 44-102 relating to Well-known Seasoned Issuers.
• Amendments to Policy Statement to Regulation 44-102 respecting Shelf Distributions (pdf - 156 KB)This link will open in a new windowUpdated on September 21, 2023Draft amendments to Policy Statement to Regulation 44-102 relating to well-known seasoned issuers.
• Amendments to Policy Statement 11-202 respecting Process for Prospectus Reviews in Multiple Jurisdictions (pdf - 139 KB)This link will open in a new windowUpdated on September 21, 2023Draft amendments to Policy Statement 11-202 relating to Well-known Seasoned Issuers

Comments received (comments are published in their original language)

• Blake, Cassels & Graydon LLP (pdf - 157 KB)This link will open in a new windowUpdated on December 19, 2023Avis de consultation des ACVM Projet de Règlement modifiant le Règlement 44-102 sur le placement de titres au moyen d’un prospectus préalable concernant les émetteurs établis bien connus - Fin de consultation 20 décembre 2023 / CSA Notice of Consultation Draft Regulation to amend Regulation 44-102 respecting Shelf Distributions (Tim Andison, Kathleen Keilty, Eric Moncik, Jessica Zhang)
• Borden Ladner Gervais (pdf - 81 KB)This link will open in a new windowUpdated on December 28, 2023Avis de consultation des ACVM Projet de Règlement modifiant le Règlement 44-102 sur le placement de titres au moyen d’un prospectus préalable concernant les émetteurs établis bien connus - Fin de consultation 20 décembre 2023 / CSA Notice of Consultation Draft Regulation to amend Regulation 44-102 respecting Shelf Distributions (Laura Levine, Philippe Tardif)
• Canadian Bankers Association (pdf - 277 KB)This link will open in a new windowUpdated on December 5, 2023Avis de consultation des ACVM Projet de Règlement modifiant le Règlement 44-102 sur le placement de titres au moyen d’un prospectus préalable concernant les émetteurs établis bien connus - Fin de consultation 20 décembre 2023 / CSA Notice of Consultation Draft Regulation to amend Regulation 44-102 respecting Shelf Distributions
• Canadian Advocacy Council (pdf - 363 KB)This link will open in a new windowUpdated on December 5, 2023Avis de consultation des ACVM Projet de Règlement modifiant le Règlement 44-102 sur le placement de titres au moyen d’un prospectus préalable concernant les émetteurs établis bien connus - Fin de consultation 20 décembre 2023 / CSA Notice of Consultation Draft Regulation to amend Regulation 44-102 respecting Shelf Distributions
• Davies Ward Phillips & Vineberg LLP (pdf - 275 KB)This link will open in a new windowUpdated on December 20, 2023Avis de consultation des ACVM Projet de Règlement modifiant le Règlement 44-102 sur le placement de titres au moyen d’un prospectus préalable concernant les émetteurs établis bien connus - Fin de consultation 20 décembre 2023 / CSA Notice of Consultation Draft Regulation to amend Regulation 44-102 respecting Shelf Distributions (David Wilson, Robert Murphy, Nicolas Morin, Yevgeniya Huggins)
• Investment Industry Association of Canada (pdf - 214 KB)This link will open in a new windowUpdated on December 28, 2023Avis de consultation des ACVM Projet de Règlement modifiant le Règlement 44-102 sur le placement de titres au moyen d’un prospectus préalable concernant les émetteurs établis bien connus - Fin de consultation 20 décembre 2023 / CSA Notice of Consultation Draft Regulation to amend Regulation 44-102 respecting Shelf Distributions
• Neo Exchange Inc. (pdf - 134 KB)This link will open in a new windowUpdated on December 28, 2023Avis de consultation des ACVM Projet de Règlement modifiant le Règlement 44-102 sur le placement de titres au moyen d’un prospectus préalable concernant les émetteurs établis bien connus - Fin de consultation 20 décembre 2023 / CSA Notice of Consultation Draft Regulation to amend Regulation 44-102 respecting Shelf Distributions (Joacim Wiklander)
• Osler, Hoskin & Harcourt LLP (pdf - 299 KB)This link will open in a new windowUpdated on January 10, 2024Avis de consultation des ACVM Projet de Règlement modifiant le Règlement 44-102 sur le placement de titres au moyen d’un prospectus préalable concernant les émetteurs établis bien connus - Fin de consultation 20 décembre 2023 / CSA Notice of Consultation Draft Regulation to amend Regulation 44-102 respecting Shelf Distributions
• Stikeman Elliott LLP (pdf - 236 KB)This link will open in a new windowUpdated on December 28, 2023Avis de consultation des ACVM Projet de Règlement modifiant le Règlement 44-102 sur le placement de titres au moyen d’un prospectus préalable concernant les émetteurs établis bien connus - Fin de consultation 20 décembre 2023 / CSA Notice of Consultation Draft Regulation to amend Regulation 44-102 respecting Shelf Distributions (Tara Law, Simon A. Romano, Jeff Hershenfield, David Tardif, Jules Dumas-Richard)
• Torys LLP (pdf - 250 KB)This link will open in a new windowUpdated on December 28, 2023Avis de consultation des ACVM Projet de Règlement modifiant le Règlement 44-102 sur le placement de titres au moyen d’un prospectus préalable concernant les émetteurs établis bien connus - Fin de consultation 20 décembre 2023 / CSA Notice of Consultation Draft Regulation to amend Regulation 44-102 respecting Shelf Distributions (Jonathan Cescon, Janet Holmes, Glen R. Johnson, Robbie Leibel, Karrin Powys-Lybbe, Rima Ramchandani, David Seville)
• TSX Inc., TSX Venture Exchange Inc. (pdf - 150 KB)This link will open in a new windowUpdated on December 20, 2023Avis de consultation des ACVM Projet de Règlement modifiant le Règlement 44-102 sur le placement de titres au moyen d’un prospectus préalable concernant les émetteurs établis bien connus - Fin de consultation 20 décembre 2023 / CSA Notice of Consultation Draft Regulation to amend Regulation 44-102 respecting Shelf Distributions (Loui Anastasopoulos)

• CSA/CIRO Staff Notice 23-331 (pdf - 281 KB)This link will open in a new windowUpdated on October 19, 2023Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets.
  • Summary of Comments to CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets (pdf - 232 KB)This link will open in a new windowUpdated on September 19, 2024

Comments received (comments are published in their original language)

• BMO Capital Markets (pdf - 177 KB)This link will open in a new windowUpdated on December 12, 2023Avis 23-331 du personnel des ACVM et de l’OCRI Consultation sur les projets relatifs à la structure du marché proposés par la SEC en décembre 2022 et leurs incidences possibles sur les marchés des capitaux du Canada / CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets (Joe Wald, Eric Stockland, James Ehrensperger)
• Canadian Security Traders Association, Inc (pdf - 251 KB)This link will open in a new windowUpdated on December 5, 2023Avis 23-331 du personnel des ACVM et de l’OCRI Consultation sur les projets relatifs à la structure du marché proposés par la SEC en décembre 2022 et leurs incidences possibles sur les marchés des capitaux du Canada / CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets
• Cboe Global Markets, Inc., Neo Exchange Inc., TriAct Canada Marketplace LP (pdf - 241 KB)This link will open in a new windowUpdated on December 5, 2023Avis 23-331 du personnel des ACVM et de l’OCRI Consultation sur les projets relatifs à la structure du marché proposés par la SEC en décembre 2022 et leurs incidences possibles sur les marchés des capitaux du Canada / CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets (Joacim Wiklander, Bryan Blake)
• CNSX Markets Inc. (pdf - 138 KB)This link will open in a new windowUpdated on December 12, 2023Avis 23-331 du personnel des ACVM et de l’OCRI Consultation sur les projets relatifs à la structure du marché proposés par la SEC en décembre 2022 et leurs incidences possibles sur les marchés des capitaux du Canada / CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets (Stuart Schady)
• Investment Industry Association of Canada (pdf - 337 KB)This link will open in a new windowUpdated on December 5, 2023Avis 23-331 du personnel des ACVM et de l’OCRI Consultation sur les projets relatifs à la structure du marché proposés par la SEC en décembre 2022 et leurs incidences possibles sur les marchés des capitaux du Canada / CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets (Sam Uddin, Shahrokh Shahabi-Azad)
• Nasdaq CXC Limited (pdf - 423 KB)This link will open in a new windowUpdated on December 12, 2023Avis 23-331 du personnel des ACVM et de l’OCRI Consultation sur les projets relatifs à la structure du marché proposés par la SEC en décembre 2022 et leurs incidences possibles sur les marchés des capitaux du Canada / CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets
• National Bank Financial Inc. (pdf - 477 KB)This link will open in a new windowUpdated on December 5, 2023Avis 23-331 du personnel des ACVM et de l’OCRI Consultation sur les projets relatifs à la structure du marché proposés par la SEC en décembre 2022 et leurs incidences possibles sur les marchés des capitaux du Canada / CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets (Patrick McEntyre, Nicholas Comtois, Jack Rando)
• Scotiabank Global Banking and Markets (pdf - 295 KB)This link will open in a new windowUpdated on December 12, 2023Avis 23-331 du personnel des ACVM et de l’OCRI Consultation sur les projets relatifs à la structure du marché proposés par la SEC en décembre 2022 et leurs incidences possibles sur les marchés des capitaux du Canada / CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets (Alex Perel, Nitin Mathur)
• TD Securities (pdf - 510 KB)This link will open in a new windowUpdated on December 13, 2023Avis 23-331 du personnel des ACVM et de l’OCRI Consultation sur les projets relatifs à la structure du marché proposés par la SEC en décembre 2022 et leurs incidences possibles sur les marchés des capitaux du Canada / CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets (David Panko)
• TMX Group Limited (pdf - 332 KB)This link will open in a new windowUpdated on December 5, 2023Avis 23-331 du personnel des ACVM et de l’OCRI Consultation sur les projets relatifs à la structure du marché proposés par la SEC en décembre 2022 et leurs incidences possibles sur les marchés des capitaux du Canada / CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets (Rizwan Awan)
• Tradelogiq Markets Inc. (pdf - 307 KB)This link will open in a new windowUpdated on December 5, 2023Avis 23-331 du personnel des ACVM et de l’OCRI (Laurence Rose)
• Virtu Canada Corp. (pdf - 198 KB)This link will open in a new windowUpdated on December 5, 2023Avis 23-331 du personnel des ACVM et de l’OCRI Consultation sur les projets relatifs à la structure du marché proposés par la SEC en décembre 2022 et leurs incidences possibles sur les marchés des capitaux du Canada / CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets (Ian Williams)