Securities - previous consultations
AMF public consultations are published primarily in French. Please visit the French version of this page to consult all available public consultations.
CSA Staff Notice and Request for Comment 23-323: Trading Fee Rebate Pilot Study
Comments received (comments are published in their original language)
AGF Investments Inc. (pdf - 60 KB)This link will open in a new windowUpdated on November 6, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - John Christofilos
Blackrock Asset Management Canada (pdf - 186 KB)This link will open in a new windowUpdated on November 6, 2019 - Margaret Gunawan
Canadian Securatization (pdf - 594 KB)This link will open in a new windowUpdated on November 6, 2019 - Ian Bandeen
Canadian Securities Exchange (pdf - 2 MB)This link will open in a new windowUpdated on November 4, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Richard Carleton
Canadian Security Traders Association, Inc. (pdf - 262 KB)This link will open in a new windowUpdated on November 4, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - CSTA Trading Issues Committee
CIBC World Markets Inc. (pdf - 48 KB)This link will open in a new windowUpdated on November 6, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Heather Killian
Citadel Securities (pdf - 278 KB)This link will open in a new windowUpdated on November 6, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Mark Wilkinson et David Archer
Healthy Markets Transparency & Trus (pdf - 142 KB)This link will open in a new windowUpdated on November 5, 2019Comments on 23-323 Trading Fee Rebate Pilot Studyt - Tyler Gellasch
Mackie Research Capital Corporation (pdf - 140 KB)This link will open in a new windowUpdated on November 1st, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - David Hetherington
National Bank (pdf - 536 KB)This link will open in a new windowUpdated on November 5, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Etienne Dubuc et Martin Gagnon
Neo Exchange Inc. (pdf - 276 KB)This link will open in a new windowUpdated on November 4, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Cindy Petlock et Joacim Wiklander
Omega Securities Inc. (pdf - 173 KB)This link will open in a new windowUpdated on November 4, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Laurence Rose et Sean Debotte
OMERS (pdf - 4 MB)This link will open in a new windowUpdated on November 7, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Brant Robertson et Robert Gouley
Ontario Teachers Pension Plan (pdf - 283 KB)This link will open in a new windowUpdated on November 6, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Kevin Duggan et all
Select Vantage (pdf - 1 MB)This link will open in a new windowUpdated on November 5, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Daniel Schlaepfer et Mario Josipovic
TMX Group (pdf - 50 KB)This link will open in a new windowUpdated on November 6, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Deanna Dobrowsky
TMX Group Limited (pdf - 918 KB)This link will open in a new windowUpdated on November 6, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Kevin Sampson
Draft Regulation to amend Regulation 24-102 respecting Clearing Agency Requirements
- Regulatory Notice (pdf - 21 KB)
This link will open in a new windowUpdated on October 18, 2018
- CSA Notice of Consultation (pdf - 84 KB)
This link will open in a new windowUpdated on October 18, 2018
- Regulation to amend Regulation 24-102 (pdf - 44 KB)
This link will open in a new windowUpdated on October 18, 2018
- Amendments to Policy Statement to Regulation 24-102 (pdf - 146 KB)
This link will open in a new windowUpdated on October 18, 2018
Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Custody-Related Amendments
- Regulatory Notice (pdf - 21 KB)
This link will open in a new windowUpdated on October 25, 2018Custody
- CSA Notice of Consultation (pdf - 55 KB)
This link will open in a new windowUpdated on October 25, 2018Custody
- Regulation to amend Regulation 31-103 (pdf - 18 KB)
This link will open in a new windowUpdated on October 25, 2018Custody
Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices and concordant regulations - Embedded commissions
- Regulatory Notice (pdf - 23 KB)
This link will open in a new windowUpdated on September 12, 2018embedded commissions
- CSA Notice of consultation (pdf - 240 KB)
This link will open in a new windowUpdated on September 12, 2018embedded commissions
- Regulation to amend Regulation 81-105 (pdf - 26 KB)
This link will open in a new windowUpdated on September 12, 2018embedded commissions
- Amendments to Companion Policy 81-105: Mutual Fund Sales Practices (pdf - 22 KB)
This link will open in a new windowUpdated on September 12, 2018embedded commissions
- Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 14 KB)
This link will open in a new windowUpdated on September 12, 2018embedded commissions
- Regulation to amend Regulation 81-101 respecting Mutual Fund Prospectus Disclosure (pdf - 21 KB)
This link will open in a new windowUpdated on September 12, 2018Embedded commissions
Comments received (comments are published in their original language)
Advocis (pdf - 1 MB)This link will open in a new windowUpdated on December 14, 2018 (Greg Pollock, Al Jones)
AGF Investments Inc. - AGF (pdf - 127 KB)This link will open in a new windowUpdated on December 14, 2018 (Mark Adams)
Alan Blanes (pdf - 312 KB)This link will open in a new windowUpdated on November 23, 2018
Alternative Investment Management Association Canada Inc. - AIMA (pdf - 669 KB)This link will open in a new windowUpdated on December 17, 2018 (A. Timothy Baron, Sarah Gardiner, Supriya Kapoor, Ian Pember, Donna Spagnolo, Jennifer Wood
Anonymous (pdf - 29 KB)This link will open in a new windowUpdated on November 19, 2018
Association Professionnelle des Conseillers en Services Financiers - APCSF (pdf - 547 KB)This link will open in a new windowUpdated on December 5, 2018 (Flavio Vani, Bertrand Larocque)
Art Ross (pdf - 44 KB)This link will open in a new windowUpdated on November 23, 2018
Borden Ladner Gervais LLP (pdf - 73 KB)This link will open in a new windowUpdated on December 17, 2018 (Whitney Bell, Jason Brooks, Rebecca Cowdery, David Di Paolo, Kathryn Fuller, John Hall, Lynn McGrade, Laura Paglia)
Bruce Loeppky (pdf - 13 KB)This link will open in a new windowUpdated on November 23, 2018
CARP (pdf - 418 KB)This link will open in a new windowUpdated on December 17, 2018 (Wanda Morris, Laura Tamblyn Watts)
Counsel Inc., RBC InvestEase Inc. and Phillips, Hager & North Investment Funds Ltd. - RBC (pdf - 4 MB)This link will open in a new windowUpdated on December 14, 2018 (Doug Guzman, Neil McLaughlin)
D. McFadden (pdf - 304 KB)This link will open in a new windowUpdated on November 19, 2018
David Fieldstone (pdf - 114 KB)This link will open in a new windowUpdated on November 19, 2018
Eric F. Gosselin (pdf - 2 MB)This link will open in a new windowUpdated on December 14, 2018
Eric Portelance (pdf - 14 KB)This link will open in a new windowUpdated on December 20, 2018
Federation of Mutual Fund Dealers (pdf - 207 KB)This link will open in a new windowUpdated on December 14, 2018 (Sandra L. Kegie)
Fidelity Investments Canada ULC - Fidelity (pdf - 333 KB)This link will open in a new windowUpdated on December 14, 2018 (Rob Strickland)
Finandicap inc. (pdf - 84 KB)This link will open in a new windowUpdated on December 5, 2018 (Guillaume Parent)
Franklin Templeton Investments Corp. - FTI (pdf - 169 KB)This link will open in a new windowUpdated on December 14, 2018 (Brad Beuttenmiller)
Gary Stenzler (pdf - 415 KB)This link will open in a new windowUpdated on November 16, 2018
Groupe Cloutier Investissements
(François Bruneau)
Groupe financier PEAK (pdf - 156 KB)This link will open in a new windowUpdated on December 17, 2018 - (Robert Frances, Marc Doré)
Harvey Naglie (pdf - 177 KB)This link will open in a new windowUpdated on November 19, 2018
HighView Asset Management Ltd. - HAML (pdf - 742 KB)This link will open in a new windowUpdated on December 14, 2018 (Dan Hallett)
Independent Financial Brokers of Canada - IFB (pdf - 571 KB)This link will open in a new windowUpdated on December 14, 2018 (Nancy Allan)
Invesco Canada Ltd. (Shalomi Abraham)
The Investment Funds Institute of Canada - IFIC (pdf - 184 KB)This link will open in a new windowUpdated on December 14, 2018 (Paul C. Bourque)
Investment Industry Association of Canada - IIAC (pdf - 1 MB)This link will open in a new windowUpdated on December 14, 2018 (Michelle Alexander, Annie Sinigagliese)
Isaac Glick (pdf - 59 KB)This link will open in a new windowUpdated on November 23, 2018
James Richard MacDonald (pdf - 59 KB)This link will open in a new windowUpdated on December 20, 2018
James S. Durnin (pdf - 204 KB)This link will open in a new windowUpdated on December 13, 2018
Ken Kivenko (pdf - 468 KB)This link will open in a new windowUpdated on November 19, 2018
Kenmar Associates (pdf - 345 KB)This link will open in a new windowUpdated on November 16, 2018
Larry Elford (pdf - 30 KB)This link will open in a new windowUpdated on November 23, 2018
Mackenzie Financial Corporation - Mackenzie Investments (pdf - 282 KB)This link will open in a new windowUpdated on December 14, 2018(Barry S. McInerney)
Mary Boom (pdf - 75 KB)This link will open in a new windowUpdated on November 23, 2018
Mérici Services financiers inc. (pdf - 420 KB)This link will open in a new windowUpdated on December 14, 2018 - (Michel Boutin, Maxime Gauthier)
MICA Capital Inc. (pdf - 37 KB)This link will open in a new windowUpdated on December 4, 2018 (Gino Sebastian Savard)
Millie Jagdeo (pdf - 301 KB)This link will open in a new windowUpdated on November 23, 2018
(Yvan-Pierre Grimard)
National Bank Investments Inc. - NBI (pdf - 406 KB)This link will open in a new windowUpdated on December 14, 2018 (Martin Gagnon)
OSC Investor Advisory Panel (pdf - 199 KB)This link will open in a new windowUpdated on December 4, 2018 – (Neil Gross)
Peter Whitehouse (pdf - 366 KB)This link will open in a new windowUpdated on November 19, 2018
Portfolio Management Association of Canada - PMAC (pdf - 101 KB)This link will open in a new windowUpdated on December 14, 2018 (Katie Walmsley, Margaret Gunawan)
Portfolio Strategies Corporation - PSC (pdf - 134 KB)This link will open in a new windowUpdated on December 14, 2018 (Mark S. Kent)
Primerica Financial Services (pdf - 663 KB)This link will open in a new windowUpdated on December 17, 2018 (John A. Adams)
Ruth Elliott (pdf - 308 KB)This link will open in a new windowUpdated on November 19, 2018
Small Investor Protection Association – SIPA (pdf - 283 KB)This link will open in a new windowUpdated on November 19, 2018 (Stan I. Buell)
Steve Pozgaj (pdf - 342 KB)This link will open in a new windowUpdated on December 20, 2018
TD Wealth (pdf - 1 MB)This link will open in a new windowUpdated on December 14, 2018 (Leo Salom)
Tom Dusmet (pdf - 620 KB)This link will open in a new windowUpdated on December 19, 2018
Yegal Rosen (pdf - 17 KB)This link will open in a new windowUpdated on December 20, 2018
W. Keir Clark (pdf - 313 KB)This link will open in a new windowUpdated on November 26, 2018
Regulation 52-112 respecting Non-GAAP and Other Financial Measures Disclosure and concordant regulations
- Regulatory Notice (pdf - 60 KB)
This link will open in a new windowUpdated on September 6, 2018
- CSA Notice of consultation (pdf - 193 KB)
This link will open in a new windowUpdated on September 6, 2018"CSA, Notice of consultation, Draft, Regulation, 52-112, non-GAAP, Other Financial Measures, Disclosure, Policy Statement, Regulation 52-112, Other Financial Measures Disclosure, Related, Consequential Amendments, Changes"
- Regulation 52-112 (pdf - 38 KB)
This link will open in a new windowUpdated on September 6, 2018
- Policy Statement to Regulation 52-112 (pdf - 102 KB)
This link will open in a new windowUpdated on September 6, 2018"Draft, Policy Statement, Regulation, 52-112, Non-GAAP, other Financial Measures Disclosure"
- Regulation to amend Regulation 45-108 respecting Crowdfunding (pdf - 14 KB)
This link will open in a new windowUpdated on September 6, 2018"draft, regulation, amend, regulation 45-108, crowdfunding, concordant, 52-112"
- Amendments to Policy Statement to Regulation 45-108 (pdf - 36 KB)
This link will open in a new windowUpdated on September 6, 2018"draft, amendments, policy statement, regulation, 45-108, crowdfunding, concordant, 52-112"
- Amendments to Policy Statement to Regulation 51-102 respecting Continuous Disclosure Obligations (pdf - 14 KB)
This link will open in a new windowUpdated on September 6, 2018"draft, amendments,Policy Statement, Regulation, 51-102, Continuous Disclosure Obligations, concordant, 52-112
- Amendments to Policy Statement to Regulation 51-105 sur les émetteurs cotés sur les marchés de gré à gré américains (pdf - 14 KB)
This link will open in a new windowUpdated on September 6, 2018"draft, amendments,Policy Statement, regulation, 51-105, Issuers Quoted in the U.S, Over-the-Counter Markets, concordant, 52-112"
- Amendments to Policy Statement to Regulation 52-107 sur les principes comptables et normes d’audit acceptables (pdf - 14 KB)
This link will open in a new windowUpdated on September 6, 2018"draft, amendments, Policy Statement, Regulation, 52-107, Acceptable Accounting Principles, Auditing Standards, concordant, 52-112"
Comments received (comments are published in their original language)
Bennett Jones (pdf - 2 MB)This link will open in a new windowUpdated on December 18, 2018
Cassels Brock Lawyers (pdf - 197 KB)This link will open in a new windowUpdated on January 10, 2019
Cenovus Energy (pdf - 349 KB)This link will open in a new windowUpdated on December 18, 2018
Deloitte LLP (pdf - 169 KB)This link will open in a new windowUpdated on December 18, 2018
Ernst & Young LLP (pdf - 412 KB)This link will open in a new windowUpdated on December 18, 2018
Goodmans LLP (pdf - 283 KB)This link will open in a new windowUpdated on December 18, 2018
Great-West Lifeco inc. (pdf - 486 KB)This link will open in a new windowUpdated on December 18, 2018
InPlay Oil Corp. (pdf - 54 KB)This link will open in a new windowUpdated on December 18, 2018
Inter Pipeline Ltd. (pdf - 2 MB)This link will open in a new windowUpdated on December 18, 2018
Keyara Corp. (pdf - 4 MB)This link will open in a new windowUpdated on December 18, 2018
KPMG (pdf - 93 KB)This link will open in a new windowUpdated on December 10, 2018
Lynessa Dias (pdf - 2 MB)This link will open in a new windowUpdated on December 18, 2018
Norton Rose Fulbright (pdf - 165 KB)This link will open in a new windowUpdated on December 18, 2018
Québec Bourse Inc. (pdf - 2 MB)This link will open in a new windowUpdated on December 18, 2018
Seven Genrations Energy (pdf - 3 MB)This link will open in a new windowUpdated on December 18, 2018
Stikeman Elliott (pdf - 212 KB)This link will open in a new windowUpdated on December 10, 2018
Suncor Energy Inc. (pdf - 100 KB)This link will open in a new windowUpdated on December 18, 2018
Torys LLP (pdf - 507 KB)This link will open in a new windowUpdated on December 18, 2018
Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Client Focused Reforms
- Regulatory Notice (pdf - 22 KB)
This link will open in a new windowUpdated on June 21, 2018
- CSA Notice of consultation (pdf - 195 KB)
This link will open in a new windowUpdated on June 21, 2018Client Focused Reforms
- Regulation to amend Regulation 31-103 (pdf - 68 KB)
This link will open in a new windowUpdated on June 20, 2018Client Focused Reformsb
- Policy Statement to Regulation 31-103 (pdf - 922 KB)
This link will open in a new windowUpdated on June 20, 2018Client Focused Reforms (blacklined version)
Comments received (comments are published in their original language)
Draft Regulation to amend the Securities Regulation
Regulation to amend Regulation 21-101 respecting Marketplace Operation
- Regulatory Notice (pdf - 21 KB)
This link will open in a new windowUpdated on May 23, 2018Regulatory Notice
- CSA Staff Notice and Request for Comment 21-323 (pdf - 190 KB)
This link will open in a new windowUpdated on May 23, 2018"CSA Staff Notice, Request for Comment, 21-323, Proposal, Mandatory Post-Trade Transparency, Trades in Government Debt Securities, Expanded Transparency, Trades,Corporate Debt Securities, Draft, Regulation to amend, Regulation, 21-101, Marketplace Operation, Draft, Amendments, Policy Statement, Regulation 21-101, Marketplace Operation"
- Regulation to amend Regulation 21-101 (pdf - 27 KB)
This link will open in a new windowUpdated on May 23, 2018"draft, regulation, amend, 21-101, marketplace operation"
- Amendements to Policy Statement to Regulation 21-101 (pdf - 42 KB)
This link will open in a new windowUpdated on May 23, 2018"draft, amendments, policy statement, regulation, 21-101, marketplace operation"
CSA Staff Notice 61-303 and Request for Comment: Soliciting Dealer Arrangements (pdf - 71 KB)
This link will open in a new windowUpdated on April 11, 2018Soliciting Dealer Arrangements
Addenda Capital Inc. (pdf - 307 KB)This link will open in a new windowUpdated on July 3, 2018 (Brian Minns)
Canadian Coalition for Good Governance (pdf - 332 KB)This link will open in a new windowUpdated on June 29, 2018 (Julie Cays)
Investment Industry Association of Canada - IIAC (pdf - 791 KB)This link will open in a new windowUpdated on June 29, 2018 (Adrian Walrath)
Kingsdale Advisors (pdf - 2 MB)This link will open in a new windowUpdated on June 29, 2018 (Wes Hall and Amy Freedman)
PSP Investments (PDF - 128 KB)This link will open in a new windowUpdated on June 29, 2018 (Stéphanie Lachance)
Shareholder Association for Research and Education - SHARE (pdf - 172 KB)This link will open in a new windowUpdated on June 29, 2018 (Kevin Thomas)
Draft Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations – Syndicated Mortgages
- Regulatory Notice (pdf - 28 KB)
This link will open in a new windowUpdated on March 1st, 2018Syndicated Mortgages
- CSA Notice and Request for Comment (pdf - 197 KB)
This link will open in a new windowUpdated on March 1st, 2018Syndicated Mortgages
- Draft Regulation to amend Regulation 45-106 (pdf - 74 KB)
This link will open in a new windowUpdated on March 1st, 2018Syndicated Mortgages
- Draft Amendments to Policy Statement to Regulation 45-106 (pdf - 38 KB)
This link will open in a new windowUpdated on March 1st, 2018Syndicated Mortgages
- Draft Regulation to amend Regulation 31-103 (pdf - 31 KB)
This link will open in a new windowUpdated on March 1st, 2018Syndicated Mortgages
Comments received (comments are published in their original language)
Appraisal Institute of Canada (pdf - 61 KB)This link will open in a new windowUpdated on March 28, 2019 (Keith Lancastle)
Batcher, Wasserman (pdf - 2 MB)This link will open in a new windowUpdated on June 26, 2018
Borden Ladner Gervais LLP (pdf - 2 MB)This link will open in a new windowUpdated on June 26, 2018 (Jason J. Brooks)
Brownlee LLP (pdf - 386 KB)This link will open in a new windowUpdated on June 26, 2018 (Roger I. Swainson)
Canadian Mortgage Brokers Association - CMBA (pdf - 167 KB)This link will open in a new windowUpdated on June 26, 2018 (Samantha Gale)
Chuck Barrett (pdf - 152 KB)This link will open in a new windowUpdated on March 28, 2019
Donna Lewczuk (pdf - 29 KB)This link will open in a new windowUpdated on March 28, 2019
FARRIS, VAUGHAN, WILLS & MURPHY LLP (pdf - 528 KB)This link will open in a new windowUpdated on June 26, 2018 (Mitchell H. Gropper, Q.C.)
First Source Mortgage Corporation (pdf - 116 KB)This link will open in a new windowUpdated on March 28, 2019 (David Mandel)
Foremost Financial Corporation (pdf - 584 KB)This link will open in a new windowUpdated on June 26, 2018 (Evan Cooperman et Rick Dogon)
Koffman Kalef LLP (pdf - 259 KB)This link will open in a new windowUpdated on June 26, 2018
Lanyard Financial Corporation (pdf - 2 MB)This link will open in a new windowUpdated on June 26, 2018 (Ben Goldberg et Brian Chelin)
MCAP Commercial LP (pdf - 986 KB)This link will open in a new windowUpdated on June 26, 2018 (Mark Adams)
McLeod Law LLP (pdf - 86 KB)This link will open in a new windowUpdated on June 26, 2018
McMillan LLP (pdf - 437 KB)This link will open in a new windowUpdated on June 26, 2018 (Michael Shannon)
Michael Baratz (pdf - 153 KB)This link will open in a new windowUpdated on March 28, 2019
Olympia Trust Company (pdf - 419 KB)This link will open in a new windowUpdated on June 26, 2018 (Craig Skauge et Jonathan Bahnuik)
Ordre des évaluateurs agréés du Québec (pdf - 1 MB)This link will open in a new windowUpdated on June 26, 2018 (Richard Lahaye, É.A.)
Paragon Capital Corp. Inc and ROQ Capital Partners Ltd. (pdf - 491 KB)This link will open in a new windowUpdated on June 26, 2018 (Sandra A. Bautz)
Paul Mangion (pdf - 18 KB)This link will open in a new windowUpdated on March 28, 2019
Professionnels hypothécaires du Canada (PDF - 176 KB)This link will open in a new windowUpdated on June 26, 2018 (Paul Taylor)
Realtech Capital Group Inc. (pdf - 259 KB)This link will open in a new windowUpdated on July 6, 2018 (James C. McPherson et David R Bouskill)
The Ontario Mortgage Investment Companies Association (pdf - 46 KB)This link will open in a new windowUpdated on March 28, 2019 (Diane Soloway)
Sam Singal (pdf - 44 KB)This link will open in a new windowUpdated on March 28, 2019