• Regulatory Notice (pdf - 20 KB)This link will open in a new windowUpdated on June 8, 2017
• Notice and Request for comment (pdf - 279 KB)This link will open in a new windowUpdated on June 7, 2017Reports of Exempt Distribution
• Regulation to amend Regulation 45-106 (pdf - 102 KB)This link will open in a new windowUpdated on June 7, 2017Report of Exempt Distribution

Comments received (comments are published in their original language)

• Blake, Cassels & Graydon LLP, Davies Ward Phillips & Vineberg LLP, McCarthy Tétrault LLP, Osler, Hoskin & Harcourt LLP and Stikeman Elliott LLP (pdf - 95 KB)This link will open in a new windowUpdated on September 22, 2017"request for comments,draft,regulation to amend regulation 45-106,prospectus exemption,report of exempt distribution,report of exempt trade,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,45-106F1,national instrument 45-106,national instrument 45-106 amendements,NI 45-106 amendements" (Ross McKee, Ralph Lindzon, Anthony Spadaro, Aaron Atin, Andrew Parker, Rob Lando, Ken Ottenbeit)
• Norton Rose Fulbright Canada LLP (pdf - 48 KB)This link will open in a new windowUpdated on September 21, 2017 (Katherine Prusinkiewicz)
• RP Investment Advisors LP (pdf - 4 MB)This link will open in a new windowUpdated on September 21, 2017"request for comments,draft,regulation to amend regulation 45-106,prospectus exemption,report of exempt distribution,report of exempt trade,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,45-106F1,national instrument 45-106,national instrument 45-106 amendements,NI 45-106 amendements" (Richard Pilosof)
• Securities Industry and Financial Markets Association - SIFMA (pdf - 270 KB)This link will open in a new windowUpdated on September 21, 2017"request for comments,draft,regulation to amend regulation 45-106,prospectus exemption,report of exempt distribution,report of exempt trade,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,45-106F1,national instrument 45-106,national instrument 45-106 amendements,NI 45-106 amendements" (Sean Davy)
• Stikeman Elliott LLP (pdf - 40 KB)This link will open in a new windowUpdated on September 21, 2017"request for comments,draft,regulation to amend regulation 45-106,prospectus exemption,report of exempt distribution,report of exempt trade,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,45-106F1,national instrument 45-106,national instrument 45-106 amendements,NI 45-106 amendements" (Laura Levine, Ramandeep K. Grewal, D'Arcy Nordick, Darin R. Renton et Simon A. Romano)
• Canadian Foundation for Advancement of Investor Rights - FAIR (pdf - 709 KB)This link will open in a new windowUpdated on September 22, 2017"request for comments,draft,regulation to amend regulation 45-106,prospectus exemption,report of exempt distribution,report of exempt trade,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,45-106F1,national instrument 45-106,national instrument 45-106 amendements,NI 45-106 amendements" (Frank Allen)

• Consultation Paper (pdf - 287 KB)This link will open in a new windowUpdated on April 6, 2017"CSA, Consultation Paper, 51-404, Considerations, Reducing, Regulatory Burden, Non-Investment Fund, Reporting Issuers"
  • CSA Staff Notice 51-350: Extension of Consultation Period (pdf - 76 KB)This link will open in a new windowUpdated on June 22, 2017Extension of Consultation Period

Comments received (comments are published in their original language)

• Aequitas NEO Exchange Inc. (pdf - 313 KB)This link will open in a new windowUpdated on July 28, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Joacim Wiklander)
• Blakes, Cassels & Graydon LLP (pdf - 153 KB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Tim Phillips – Trevor Rowles)
• British Columbia Investment Management Corporation (pdf - 705 KB)This link will open in a new windowUpdated on July 7, 2017 (bcIMC) (Bryan Thomson)
• Broadridge Investor Communications Corporation (pdf - 495 KB)This link will open in a new windowUpdated on July 11, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Patricia Rosch)
• Burnet, Duckworth & Palmer (pdf - 227 KB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" LLP (Bronwyn M. Inkster)
• Caisse de dépôt et de placement du Québec (pdf - 74 KB)This link will open in a new windowUpdated on July 11, 2017"consultation,51-104,41-101,44-101,51-102,51-103,11-201,réduction,réduire,fardeau réglementaire,simplification,assouplissement,émetteur assujetti,émetteur émergent,petit émetteur,petites sociétés assujetties,société émergente de croissance,premier appel public à l’épargne,PAPE,rapport semestriel,rapports semestriels,chevauchement,livraison électronique,papier,système d’accès continu au marché,régime d’information intégré,déclaration d’acquisition d’entreprise,placements au cours du marché" (Soulef Hadjoudj) - French
• Caisse de dépôt et de placement du Québec (pdf - 33 KB)This link will open in a new windowUpdated on August 11, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Soulef Hadjoudj)
• Caldwell Securities LTD (pdf - 4 MB)This link will open in a new windowUpdated on May 15, 2017“consultation,51-104,41-101,44-101,51-102,51-103,11-201,réduction,réduire,fardeau réglementaire,simplification,assouplissement,émetteur assujetti,émetteur émergent,petit émetteur,petites sociétés assujetties,société émergente de croissance,premier appel public à l’épargne,PAPE,rapport semestriel,rapports semestriels,chevauchement,livraison électronique,papier,système d’accès continu au marché,régime d’information intégré,déclaration d’acquisition d’entreprise,placements au cours du marché,reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Thomas S. Caldwell)
• Canaccord Genuity Corp. (pdf - 92 KB)This link will open in a new windowUpdated on July 27, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Ron Sedran)
• Canadian Accounting Standards Board (pdf - 465 KB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Linda F. Mezon)
• Canadian Coalition for Good Governance (pdf - 116 KB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Julie Cays)
• Canadian Foundation for Advancement of Investor Rights FAIR (pdf - 726 KB)This link will open in a new windowUpdated on August 1^st, 2017 (Anita Ananh)
• Canadian Investor Relations Institute (pdf - 172 KB)This link will open in a new windowUpdated on August 1^st, 2017 (Yvette Lokker)
• Canadian Natural Resources Limited (pdf - 101 KB)This link will open in a new windowUpdated on August 2, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings"
• Canadian Securities Exchange – CSE (pdf - 113 KB)This link will open in a new windowUpdated on July 28, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Richard Carleton)
• Canadian Tire (pdf - 725 KB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Doug Nathanson)
• Chartered Professional Accountants Canada – CPA (pdf - 887 KB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Joe Thomas)
• Conrad Sheppard (pdf - 297 KB)This link will open in a new windowUpdated on August 10, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings"
• Corby Spirit and Wine Limited (pdf - 31 KB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Marc Valencia)
• Crowdmatrix and WATT Capital (pdf - 672 KB)This link will open in a new windowUpdated on July 20, 2017 (James S. Hershaw)
• Davies Ward Phillips & Vineberg LLP (pdf - 133 KB)This link will open in a new windowUpdated on August 1^st, 2017 (David Wilson)
• Deloitte LLP (pdf - 34 KB)This link will open in a new windowUpdated on August 3, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings"
• Ernst & Young LLP (pdf - 227 KB)This link will open in a new windowUpdated on July 28, 2017
• Financial Executive Internation Canada (pdf - 283 KB)This link will open in a new windowUpdated on August 2, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings"
• Fiore Management & Advisory Corp. (pdf - 4 MB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Gordon Keep – Jessica Van den Akker)
• George Weston Limited (pdf - 25 KB)This link will open in a new windowUpdated on July 11, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Robert A. Balcom)
• Goodmans LLP (pdf - 51 KB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Stephen Pincus – William (Bill) Gordan – Brad Ross – Kirk Rauliuk)
• IIAC (pdf - 634 KB)This link will open in a new windowUpdated on July 28, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Susan Copland)
• Institute of Corporate Directors (pdf - 196 KB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Rahul K. Bhardwaj)
• Inter Pipeline Ltd. (pdf - 39 KB)This link will open in a new windowUpdated on July 28, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Anita Dusevic Oliva)
• Investor Advisory Panel (pdf - 187 KB)This link will open in a new windowUpdated on July 20, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Letty Dewar)
• James Saloman (pdf - 19 KB)This link will open in a new windowUpdated on July 28, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings"
• KPMG LLP (pdf - 110 KB)This link will open in a new windowUpdated on June 28, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Laura Moschitto)
• Magna International Inc. (pdf - 59 KB)This link will open in a new windowUpdated on August 1^st, 2017 (Bassen A. Shakeel)
• Marrelli Support Services Inc. (pdf - 429 KB)This link will open in a new windowUpdated on July 18, 2017 (Carmelo Marrelli)
• McEwen Mining (pdf - 58 KB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Rob McEwen)
• Norton Rose Fulbright (pdf - 119 KB)This link will open in a new windowUpdated on July 26, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings"
• Pension Investment Association of Canada (pdf - 91 KB)This link will open in a new windowUpdated on July 11, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Kevin Fahey)
• Precision Drilling Corporation (pdf - 3 MB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Carey Ford)
• Premium Brands (pdf - 1 MB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Gwun Yee)
• PricewaterhouseCoopers (pdf - 413 KB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings"
• Private Mortgage Lenders Form (pdf - 607 KB)This link will open in a new windowUpdated on July 18, 2017 (Dean Koeller)
• Prospectors & Developers Association of Canada (pdf - 286 KB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Andrew Cheatle)
• Québec Bourse Inc. (pdf - 563 KB)This link will open in a new windowUpdated on July 27, 2017"consultation,51-104,41-101,44-101,51-102,51-103,11-201,réduction,réduire,fardeau réglementaire,simplification,assouplissement,émetteur assujetti,émetteur émergent,petit émetteur,petites sociétés assujetties,société émergente de croissance,premier appel public à l’épargne,PAPE,rapport semestriel,rapports semestriels,chevauchement,livraison électronique,papier,système d’accès continu au marché,régime d’information intégré,déclaration d’acquisition d’entreprise,placements au cours du marché" (Louis Doyle) - French
• Québec Bourse Inc. (pdf - 375 KB)This link will open in a new windowUpdated on July 27, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Louis Doyle)
• Real Property Association of Canada (pdf - 177 KB)This link will open in a new windowUpdated on July 27, 2017 (Nancy Anderson)
• Securities Transfer Association of Canada (pdf - 451 KB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Lara Donaldson)
• S. Mark Francis (pdf - 242 KB)This link will open in a new windowUpdated on August 10, 2017
• Stikeman Elliott LLP (pdf - 158 KB)This link will open in a new windowUpdated on August 1^st, 2017 (Laura Levine)
• Suncor Energy Inc. (pdf - 164 KB)This link will open in a new windowUpdated on July 26, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Jacqueline Moore)
• The Canadian Advocacy Council for Canadian CFA Institute Societies (pdf - 236 KB)This link will open in a new windowUpdated on August 1^st, 2017
• The Canadian Bankers Association (pdf - 119 KB)This link will open in a new windowUpdated on July 5, 2017Comment received by The Canadian Bankers Association on July 7, 2017 RE: CSA Consultation Paper 51-404 - Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers (Darren Hannah)
• The Co-operators Group Limited (pdf - 101 KB)This link will open in a new windowUpdated on July 5, 2017 (Andrew Yorke)
• TMX Group Limited (pdf - 278 KB)This link will open in a new windowUpdated on August 1^st, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" – Capital Formation, Equity Capital Markets (Ungad Chadda) – TSX Venture Exchange (Brady Fletcher)
• TransAlta Corporation (pdf - 427 KB)This link will open in a new windowUpdated on July 27, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Scott Jeffers)
• Tourmaline Oil Corp. (pdf - 401 KB)This link will open in a new windowUpdated on July 28, 2017“reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Sarah Tait)
• TransCanada Corporation (pdf - 6 MB)This link will open in a new windowUpdated on July 3, 2017"reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (Christine R. Johnston)
• Trent W. Klein (pdf - 29 KB)This link will open in a new windowUpdated on July 18, 2017
• Velan Inc. (pdf - 3 MB)This link will open in a new windowUpdated on July 7, 2017"reduction,reduce,regulatory burden,streamlining,reporting issuer,venture issuer,junior issuer,smaller reporting companies,emerging growth companies,initial public offering,IPO,semi-annual reporting,electronic delivery,paper,Continuous Market Access,Integrated Disclosure System,business acquisition report BAR requirement,at-the-market offerings,atm offerings" (John D. Ball, Cheryl Hooper)

• Regulatory Notice (pdf - 21 KB)This link will open in a new windowUpdated on April 27, 2017
• Notice and Request for Comment (pdf - 59 KB)This link will open in a new windowUpdated on April 27, 2017
• Regulation to amend Regulation 81-102 (pdf - 15 KB)This link will open in a new windowUpdated on April 27, 2017T+2
• Regulation to amend Regulation 81-104 respecting Commodity Pools (pdf - 13 KB)This link will open in a new windowUpdated on April 27, 2017T+2

CSA Consultation Paper 52-403 (pdf - 82 KB)This link will open in a new windowUpdated on April 24, 2017"CSA Consultation Paper, 52-403, Auditor Oversight, Issues, Foreign Jurisdictions"

• Consultation Paper (pdf - 1 MB)This link will open in a new windowUpdated on January 10, 2017OPTION OF DISCONTINUING EMBEDDED COMMISSIONS
• Backgrounder (pdf - 134 KB)This link will open in a new windowUpdated on January 10, 2017Consultation on the Option of Discontinuing Embedded Commissions
• Consultation session This link will open in a new window – May 12, 2017 (Available in French only)
• Report on principal findings of Autorité des marchés financiers focus groups with individual investors

Comments received (comments are published in their original language)

• Advocis (pdf - 921 KB)This link will open in a new windowUpdated on June 14, 2017 (Greg Pollock and Wade A. Baldwin)
• AGF Investments Inc. (pdf - 4 MB)This link will open in a new windowUpdated on June 13, 2017 (Blake C. Goldring)
• Alistair Harrigan (pdf - 16 KB)This link will open in a new windowUpdated on June 6, 2017
• Alternative Investment Management Association ‘AIMA’ (pdf - 244 KB)This link will open in a new windowUpdated on June 14, 2017 (Michael Burns, Ian Pember, Jennifer A. Wainwright, Stacy Hammett, Ronald M. Kosonic)
• Andrew Teasdale (pdf - 218 KB)This link will open in a new windowUpdated on June 14, 2017
• APCSF (pdf - 573 KB)This link will open in a new windowUpdated on June 13, 2017 (Association Professionnelle des Conseillers en Services Financiers) (Flavio Vani, Michael Luciani, Bertrand Larocque, Nacera Zergane)
• Assante Wealth Management and Hein Financial Group (pdf - 294 KB)This link will open in a new windowUpdated on June 5, 2017 (Brian Hein)
• ATB Investor Services (pdf - 148 KB)This link will open in a new windowUpdated on June 15, 2017 (Brett Kimak)
• Attiscorp Wealth Management (pdf - 125 KB)This link will open in a new windowUpdated on June 9, 2017 (Joel Attis) 
• Banque Nationale (pdf - 4 MB)This link will open in a new windowUpdated on June 14, 2017 (Martin Gagnon)
• Barbara Nash (pdf - 20 KB)This link will open in a new windowUpdated on June 12, 2017
• BlackRock Asset Management Canada Limited (pdf - 212 KB)This link will open in a new windowUpdated on June 14, 2017 (Margaret Gunawan and Warren Collier)
• Borden Ladner Gervais (pdf - 429 KB)This link will open in a new windowUpdated on June 14, 2017 (Investment Management and Securities Practice Group Lawyers)
• Bridgehouse Asset Managers (pdf - 161 KB)This link will open in a new windowUpdated on June 14, 2017 (Carol Lynde)
• Canadian Advocacy Council for Canadian CFA Institute Societies (pdf - 401 KB)This link will open in a new windowUpdated on June 14, 2017 (Michael Thom)
• Canadian Association of Independent Life Brokerage Agencies ‘CAILBA’ (pdf - 357 KB)This link will open in a new windowUpdated on June 14, 2017 (Earleen Moulton and Eric Wachtel)
• Carp (pdf - 520 KB)This link will open in a new windowUpdated on June 6, 2017 (Wanda Morris & Marissa Semkiw)
• Capital Group (pdf - 328 KB)This link will open in a new windowUpdated on June 9, 2017 (Mark Tiffin)
• CIBC (pdf - 2 MB)This link will open in a new windowUpdated on June 13, 2017 (Steve Geist)
• CI Financial Corp. (pdf - 5 MB)This link will open in a new windowUpdated on June 14, 2017 (Sheila A. Murray and Steven J. Donald)
• Citibank Canada Investment Funds Limited (pdf - 4 MB)This link will open in a new windowUpdated on June 13, 2017 (Robert J. McGuire)
• Claude Sanche (pdf - 1 MB)This link will open in a new windowUpdated on June 2, 2017
• Conseil des professionnels en services financiers (pdf - 10 MB)This link will open in a new windowUpdated on June 15, 2017
• Conseil des représentants du Réseau SFL (pdf - 5 MB)This link will open in a new windowUpdated on June 12, 2017 (Daniel Binette et Gilles Garon)
• Co-Operators Group (pdf - 591 KB)This link will open in a new windowUpdated on June 13, 2017 (Rick McCombie and Kevin Daniel)
• Credential (pdf - 2 MB)This link will open in a new windowUpdated on June 14, 2017 (Yasmin Lalani)
• Dan Petryk (pdf - 286 KB)This link will open in a new windowUpdated on June 12, 2017
• Daniel Enayatzadeh (pdf - 35 KB)This link will open in a new windowUpdated on June 9, 2017
• Daniela Rempel (pdf - 26 KB)This link will open in a new windowUpdated on June 6, 2017
• David Mcgruer (pdf - 207 KB)This link will open in a new windowUpdated on June 13, 2017
• David Rupert (pdf - 20 KB)This link will open in a new windowUpdated on June 12, 2017
• Debbie Hartzman (pdf - 55 KB)This link will open in a new windowUpdated on June 6, 2017
• Debra McFadden (pdf - 228 KB)This link will open in a new windowUpdated on June 13, 2017
• Dentons (pdf - 496 KB)This link will open in a new windowUpdated on June 9, 2017 (Pierre Lortie)
• Dietz Financial (pdf - 30 KB)This link will open in a new windowUpdated on June 12, 2017Comment received by Chris Dietz (Dietz Financial/Peak Investment Services) on February 16, 2017 RE: CSA Consultation Paper 81-408 - Consultation on the Option of Discontinuing Embedded Commissions (Chris Dietz)
• Doheny Securities Limited (pdf - 399 KB)This link will open in a new windowUpdated on June 14, 2017 (Brian Gertenstein)
• Donna Kagan (pdf - 11 KB)This link will open in a new windowUpdated on June 6, 2017
• D.W. Good Investment Co. Ltd. (pdf - 213 KB)This link will open in a new windowUpdated on June 14, 2017 (Dan Good)
• Edward Jones (pdf - 2 MB)This link will open in a new windowUpdated on June 13, 2017 (Wayne Bolton)
• Emerging Manager’s Board (pdf - 3 MB)This link will open in a new windowUpdated on June 16, 2017 (Conseil des gestionnaires en émergence)    
• Federation of Mutual Fund Dealers (pdf - 2 MB)This link will open in a new windowUpdated on June 14, 2017 (Sandra L. Kegie)
• Fidelity Investments (pdf - 1,003 KB)This link will open in a new windowUpdated on June 14, 2017 (Robert S. Strickland)
• Financial Decisions Inc.  (pdf - 38 KB)This link will open in a new windowUpdated on June 15, 2017(Linda Cartier)
• Financial Planning Standrds Council ‘FPSC’ (pdf - 82 KB)This link will open in a new windowUpdated on June 14, 2017
• Foundation for Advancement of Investor Rights ‘FAIR’ (pdf - 941 KB)This link will open in a new windowUpdated on June 14, 2017 (Marian Passmore)
• François Premont et Nicole Gravel (pdf - 95 KB)This link will open in a new windowUpdated on June 13, 2017
• Franklin Templeton Investments Corp. (pdf - 491 KB)This link will open in a new windowUpdated on June 14, 2017 (Brad Beuttenmiller)
• FundNet Systems (pdf - 200 KB)This link will open in a new windowUpdated on June 14, 2017 (Jonathan Hunt)
• George Lewis (pdf - 174 KB)This link will open in a new windowUpdated on June 14, 2017
• Glenn Szlagowski (pdf - 393 KB)This link will open in a new windowUpdated on June 13, 2017
• Gordon T. Clark (pdf - 281 KB)This link will open in a new windowUpdated on June 9, 2017 
• Greg Mussenden (pdf - 262 KB)This link will open in a new windowUpdated on June 14, 2017
• Groupe Cloutier Investissements (pdf - 664 KB)This link will open in a new windowUpdated on June 14, 2017 (François Bruneau)
• Guy Roy (pdf - 76 KB)This link will open in a new windowUpdated on June 14, 2017
• Harold Lockerby (pdf - 414 KB)This link will open in a new windowUpdated on June 6, 2017
• Harvey S. Naglie (pdf - 376 KB)This link will open in a new windowUpdated on June 6, 2017
• Heather Zacharias (pdf - 137 KB)This link will open in a new windowUpdated on June 13, 2017
• Hélène Aubin (pdf - 182 KB)This link will open in a new windowUpdated on June 13, 2017
• Highview Financial Group (pdf - 1,022 KB)This link will open in a new windowUpdated on June 14, 2017 (Dan Hallett)
• HollisWealth / HollisWealth Advisory Services Inc. (pdf - 327 KB)This link will open in a new windowUpdated on June 14, 2017 (Jeffrey Rockel)
• Horizons ETFs Management (Canada) Inc. (pdf - 461 KB)This link will open in a new windowUpdated on June 14, 2017 (Greg Sainsbury)
• HSBC Bank (pdf - 218 KB)This link will open in a new windowUpdated on June 14, 2017 (Larry Tomei)
• IA Financial Group (pdf - 506 KB)This link will open in a new windowUpdated on June 14, 2017 (Carl Mustos)
• ICI Global (pdf - 853 KB)This link will open in a new windowUpdated on June 14, 2017 (Dan Waters)
• Independent Financial Brokers of Canada (pdf - 256 KB)This link will open in a new windowUpdated on June 14, 2017 (Nancy Allan and Scott Findlay)
• Invesco (pdf - 500 KB)This link will open in a new windowUpdated on June 14, 2017 (Eric Adelson)
• Investment Funds Institute of Canada (pdf - 3 MB)This link will open in a new windowUpdated on June 13, 2017 (Paul C. Bourque)
• Investment Industry Association of Canada ‘IIAC’ (pdf - 1 MB)This link will open in a new windowUpdated on June 13, 2017 (Michelle Alexander)
• Investment Planning Counsel (pdf - 2 MB)This link will open in a new windowUpdated on June 9, 2017 (John G. Novachis)
• Investor Advisory Panel (pdf - 219 KB)This link will open in a new windowUpdated on June 14, 2017 (Ursula Menke)
• Investors Group (pdf - 1 MB)This link will open in a new windowUpdated on June 13, 2017 (Jeffrey R. Carney)
• InvestorCOM (pdf - 280 KB)This link will open in a new windowUpdated on June 14, 2017 (Anthony Boright)
• J.-F. Labbé et A. Brassard (pdf - 253 KB)This link will open in a new windowUpdated on June 12, 2017
• Jo and Theo Georgiou (pdf - 10 KB)This link will open in a new windowUpdated on June 6, 2017
• John J. De Goey (pdf - 503 KB)This link will open in a new windowUpdated on June 13, 2017
• Jonathan Hunt (pdf - 40 KB)This link will open in a new windowUpdated on June 6, 2017
• JR Tobias (pdf - 306 KB)This link will open in a new windowUpdated on June 6, 2017
• Julia Lipovetsky (pdf - 375 KB)This link will open in a new windowUpdated on June 9, 2017
• Julie Roy (pdf - 2 MB)This link will open in a new windowUpdated on June 12, 2017
• Julie Roy (pdf - 382 KB)This link will open in a new windowUpdated on June 5, 2017 (2)
• Kay Crawford (pdf - 101 KB)This link will open in a new windowUpdated on June 6, 2017
• Keith R. Odegard (pdf - 289 KB)This link will open in a new windowUpdated on June 13, 2017 
• Kenmar Associates (pdf - 2 MB)This link will open in a new windowUpdated on June 6, 2017 (Ken Kivenko)
• Kevin Hayes (pdf - 56 KB)This link will open in a new windowUpdated on June 6, 2017
• Larry Elford (pdf - 149 KB)This link will open in a new windowUpdated on June 9, 2017
• Lorne Radke (pdf - 525 KB)This link will open in a new windowUpdated on June 6, 2017
• Luc Paiement (pdf - 922 KB)This link will open in a new windowUpdated on June 6, 2017
• Mackenzie Financial Corporation (pdf - 1 MB)This link will open in a new windowUpdated on June 13, 2017 (Barry S. McInerney)
• Manulife (pdf - 305 KB)This link will open in a new windowUpdated on June 13, 2017 (Bernard Letendre and Rick Annaert)
• Mark Schneider (pdf - 445 KB)This link will open in a new windowUpdated on June 9, 2017
• Mary Boom (pdf - 23 KB)This link will open in a new windowUpdated on June 6, 2017
• Marc-Étienne L. Salvail (pdf - 258 KB)This link will open in a new windowUpdated on June 14, 2017
• Matt Morris (pdf - 575 KB)This link will open in a new windowUpdated on June 9, 2017
• MBC Law (pdf - 405 KB)This link will open in a new windowUpdated on June 9, 2017 (Harold Geller)
• Mérici Services Financiers inc. (pdf - 1 MB)This link will open in a new windowUpdated on June 14, 2017 (Michel Boutin and Maxime Gauthier)
• Mica Capital (pdf - 3 MB)This link will open in a new windowUpdated on June 12, 2017 (Gino Sebastian Savard et Yvan Morin)
• Mildred Jagdeo (pdf - 24 KB)This link will open in a new windowUpdated on June 6, 2017
• Morningstar Canada (pdf - 192 KB)This link will open in a new windowUpdated on June 9, 2017 (Christopher Davis et Aron Szapiro)
• Mouvement Desjardins (pdf - 502 KB)This link will open in a new windowUpdated on June 14, 2017
• National Exempt Market Association ‘NEMA’ (pdf - 296 KB)This link will open in a new windowUpdated on June 13, 2017 (Cora Pettipas and Craig Skauge)
• Nick Carroll (pdf - 14 KB)This link will open in a new windowUpdated on June 6, 2017
• Oak Tree Financial Services (pdf - 26 KB)This link will open in a new windowUpdated on June 12, 2017 (Trent Stanley)
• O’Morrow Financial Services (pdf - 24 KB)This link will open in a new windowUpdated on June 6, 2017 (Brad O’Morrow)
• Pacific Spirit Investment Management (pdf - 309 KB)This link will open in a new windowUpdated on June 9, 2017 (John S. Clark)
• Patrice Doucet (pdf - 186 KB)This link will open in a new windowUpdated on June 2, 2017
• Patrick J. Carricato (pdf - 195 KB)This link will open in a new windowUpdated on June 13, 2017
• Peak (pdf - 176 KB)This link will open in a new windowUpdated on June 14, 2017 (Jean Carrier)
• Peter Whitehouse (pdf - 546 KB)This link will open in a new windowUpdated on June 12, 2017
• Portfolio Management Association of Canada ‘PMAC’ (pdf - 137 KB)This link will open in a new windowUpdated on June 14, 2017 (Katie Walmsley and Magaret Gunawan)
• Portfolio Strategies (pdf - 251 KB)This link will open in a new windowUpdated on June 13, 2017 (Mark S. Kent)
• Primerica (pdf - 949 KB)This link will open in a new windowUpdated on June 14, 2017 (John A. Adams)
• Quadrus Investment Services Ltd. (pdf - 816 KB)This link will open in a new windowUpdated on June 13, 2017 (Michael Campbell)
• RBC  (pdf - 178 KB)This link will open in a new windowUpdated on June 14, 2017(Kirk Dudtschak, Doug Coulter, Dave Agnew, Rosalyn Kent, Mark Neill)
• Reid & Associates (pdf - 139 KB)This link will open in a new windowUpdated on June 6, 2017Comment received by Rob Reid (Reid & Associates Financial Solutions) on March 20, 2017 RE: CSA Consultation Paper 81-408 - Consultation on the Option of Discontinuing Embedded Commissions (Rob Reid)
• Rick Reynolds (pdf - 16 KB)This link will open in a new windowUpdated on June 6, 2017
• Rob Bauml (pdf - 352 KB)This link will open in a new windowUpdated on June 14, 2017
• Robert Bernard (pdf - 16 KB)This link will open in a new windowUpdated on June 13, 2017
• Robert Goldberg (pdf - 358 KB)This link will open in a new windowUpdated on June 14, 2017
• Sentry Investments (pdf - 230 KB)This link will open in a new windowUpdated on June 14, 2017 (Edna A. Chu)     
• Services Financiers Eric Gosselin (pdf - 2 MB)This link will open in a new windowUpdated on June 12, 2017 (Eric F. Gosselin)
• Shamez Kassam (pdf - 315 KB)This link will open in a new windowUpdated on June 9, 2017
• Stan Penner (pdf - 47 KB)This link will open in a new windowUpdated on June 6, 2017
• Starving Advisor (pdf - 46 KB)This link will open in a new windowUpdated on June 6, 2017
• Steve Kunzel (pdf - 60 KB)This link will open in a new windowUpdated on June 6, 2017
• Sun Life Financial (pdf - 589 KB)This link will open in a new windowUpdated on June 14, 2017 (Nick DiRenzo)
• Sun Life Global Investments (pdf - 287 KB)This link will open in a new windowUpdated on June 13, 2017 (Rick Headrick)
• Taylor Hewson (pdf - 160 KB)This link will open in a new windowUpdated on June 6, 2017
• Thierman Financial (pdf - 493 KB)This link will open in a new windowUpdated on June 9, 2017 (Shannen D. Fisher)
• Thomas B.K. Martin (pdf - 753 KB)This link will open in a new windowUpdated on June 14, 2017
• Tim Weichel (pdf - 43 KB)This link will open in a new windowUpdated on June 6, 2017
• Troy Iwanik (pdf - 345 KB)This link will open in a new windowUpdated on June 14, 2017
• Trusted Wealth Professionals (pdf - 4 MB)This link will open in a new windowUpdated on June 14, 2017 (Gerry Gabon)
• Tyler J. Dickie (pdf - 47 KB)This link will open in a new windowUpdated on June 6, 2017
• Vanguard Investments Canada Inc. (pdf - 566 KB)This link will open in a new windowUpdated on June 14, 2017 (Atul Tiwari)
• Victor Prasad (pdf - 18 KB)This link will open in a new windowUpdated on June 6, 2017
• Waterloo Advisor (pdf - 71 KB)This link will open in a new windowUpdated on June 6, 2017
• Wealth & Risk Management Solutions (pdf - 62 KB)This link will open in a new windowUpdated on June 6, 2017 (Craig Cornell)
• Wealthsimple Inc. (pdf - 60 KB)This link will open in a new windowUpdated on June 14, 2017 (Michael Katchen)
• Worldsource Wealth Management (pdf - 263 KB)This link will open in a new windowUpdated on June 14, 2017
• Yves David (pdf - 175 KB)This link will open in a new windowUpdated on June 2, 2017
• Yves Lavigne (pdf - 4 MB)This link will open in a new windowUpdated on June 2, 2017

• Request for comment Notice (pdf - 24 KB)This link will open in a new windowUpdated on November 24, 2016
• Regulation respecting Real Estate Prospectus and Registration Exemption (pdf - 96 KB)This link will open in a new windowUpdated on April 3, 2017"Regulation, real estate, prospectus, registration, exemptions"s (pdf - 96 KB)This link will open in a new windowUpdated on April 3, 2017"Regulation, real estate, prospectus, registration, exemptions"
• Policy Statement to the Regulation respecting Real Estate Prospectus and Registration Exemptions (pdf - 67 KB)This link will open in a new windowUpdated on November 24, 2016"Policy, Statement, Regulation, real estate, prospectus, registration, exemptions"

• Avis réglementaire (pdf - 19 KB)This link will open in a new windowUpdated on September 21, 2016
• Avis de consultation des ACVM (pdf - 340 KB)This link will open in a new windowUpdated on September 22, 2016
• Règlement modifiant le Règlement 81-102 sur les fonds d'investissement (pdf - 67 KB)This link will open in a new windowUpdated on September 21, 2016
  • Version soulignée du Règlement 81-102 sur les fonds d'investissement (pdf - 578 KB)This link will open in a new windowUpdated on September 26, 2016Organismes de placement collectif
• Modification de l’Instruction générale relative au Règlement 81-102 sur les fonds d’investissement (pdf - 23 KB)This link will open in a new windowUpdated on September 23, 2016
• Règlement abrogeant le Règlement 81-104 sur les fonds marché à terme (pdf - 14 KB)This link will open in a new windowUpdated on September 21, 2016"Règlement, abrogeant, Règlement, 81-104,fonds, marché, terme"
• Règlement modifiant le Règlement 81-101 sur le régime de prospectus des organismes de placement collectif (pdf - 30 KB)This link will open in a new windowUpdated on September 21, 2016"Règlement, modifant, 81-101, régime, prospectus, organismes, placement, collectif"
• Règlement 81-107 sur le comité d’examen indépendant des fonds d’investissement (pdf - 14 KB)This link will open in a new windowUpdated on September 21, 2016"Règlement, modifiant, 81-107, comité, examen, indépendant, fonds"
• Modification de l’Instruction générale relative au Règlement 81-107 sur le comité d’examen indépendant des fonds d’investissement (pdf - 14 KB)This link will open in a new windowUpdated on September 21, 2016"Modification, Instruction, générale, Règlement, 81-107, comité, examen, indépendant, fonds, investissement"
• Règlement 41-101 sur les obligations générales relatives au prospectus; (pdf - 24 KB)This link will open in a new windowUpdated on September 21, 2016"Règlement, modifant, 41-101, obligations, générales, prospectus"
• Règlement 81-106 sur l’information continue des fonds d’investissement (pdf - 20 KB)This link will open in a new windowUpdated on September 21, 2016"Règlement, modifiant, 81-106, information, continue, fonds, investissement"

Comments received (comments are published in their original language)

• AGF (pdf - 207 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Mark Adams)
• AIMA (pdf - 9 MB)This link will open in a new windowUpdated on January 9, 2017 (Michael Burns)
• BlackRock (pdf - 230 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Margaret Gunawan)
• BMO Capital Markets (pdf - 346 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier"(Kevin Gopaul and Lino Morra)
• Brompton Funds Limited (pdf - 324 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Mark A. Caranci et Craig T. Kikuchi)
• The Canadian Advocacy Council for Canadian CFA Institute Societies (pdf - 170 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Michael Thom)
• CIBC (pdf - 75 KB)This link will open in a new windowUpdated on January 9, 2017(Geneviève Ouellet)
• The Canadian Securities Institure (pdf - 99 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Marc Flyn)
• Eastcost Fund Management (pdf - 370 KB)This link will open in a new windowUpdated on January 9, 2017(Mike MacBain, Sinan Akdeniz et Michael D’Costa)
• Invesco (pdf - 1 MB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Eric Adelson)
• Investors Group (pdf - 701 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Todd Asman)
• Lawrence Park Asset Management (pdf - 4 MB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (John Yong et Andrew Torres)
• Lysander Funds Limited (pdf - 341 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier"(Raj Vijh)
• Mackenzie Financial Corporation (pdf - 415 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Michael Schnitman)
• Manulife Asset Management (pdf - 1 MB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Bernard Letendre)
• Morgan Meighen & Associates (pdf - 3 MB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Frank Fuernkranz)
• Picton Mahoney Asset Management (pdf - 164 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (David Picton et Andrew Ma)
• Portfolio Management Association of Canada (Katie Walmsley et Margaret Gunawan)
• RBC Capital Markets (pdf - 122 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Andrew Thornhill)
• RBC Global Asset Management (pdf - 656 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Daniel E.Chornous)
• Vision Capital Corporation (pdf - 373 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Jeffrey Olin)
• Wildeboer Dellelce LLP (pdf - 2 MB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Ronald Schwass, Geoffrey Cher et Nick Gray)
• Stikeman Elliott - Financial Products & Services (pdf - 277 KB)This link will open in a new windowUpdated on January 9, 2017 (Junaid Subhan)
• McMillan LLP (pdf - 603 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Margaret McNee)
• McCarthy Tétrault (pdf - 37 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Andrew R. Armstrong)
• GrowthWorks Capital Ltd (pdf - 48 KB)This link will open in a new windowUpdated on January 11, 2017 (Jill W. Donaldson)
• The Investment Funds Institute of Canada (pdf - 1,013 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Ralf Hensel)
• First Asset (pdf - 307 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Z. Edward Akkawi)
• Borden Ladner Gervais (pdf - 106 KB)This link will open in a new windowUpdated on January 9, 2017 (Rebecca Cowdery, Lynn McGrade, Carol Derk, Michael Burns, Donna Spagnolo, Kathryn Fuller)
• Blake Cassels Graydon (pdf - 122 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Jeffrey Glass)Stikeman Elliott (Darin Renton)
• Aviva Investors (pdf - 5 MB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Sean Brumble)
• Arrow Capital Management inc. (pdf - 666 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Robert Parsons et Mark Kennedy)
• Hedge Fund Standards Board (pdf - 734 KB)This link will open in a new windowUpdated on January 9, 2017"comment,draft,regulation 81-102,regulation 81-104,modernization of investment fund regulation,alternative funds,regulation to amend regulation 81-102,regulation to repeal regulation 81-104,second stage of Phase 2,alternative funds proposal,alternative investment strategies,alternative asset classes,investment restrictions,leverage,consultation,projet,règlement 81-102,règlement 81-104,modernisation de la règlementation des fonds d’investissement,fonds alternatifs,règlement modifiant le règlement 81-102,règlement abrogeant le Règlement 81-104,deuxième étape de la Phase 2,propositions relatives aux fonds alternatifs,stratégies de placement alternatives,catégories d’actifs alternatives,restrictions en matière de placement,effet de levier" (Thomas Deinet)
• FAIR (pdf - 429 KB)This link will open in a new windowUpdated on January 10, 2017(Marian Passmore)
• TDSecurities Inc. (pdf - 3 MB)This link will open in a new windowUpdated on January 16, 2017 (Steve Banquier)
• AUMLaw Professional Corporation (pdf - 474 KB)This link will open in a new windowUpdated on January 16, 201700069155-5 /font=6 (Kimberly Poster)
• RPInvestment Advisor (pdf - 703 KB)This link will open in a new windowUpdated on January 16, 2017 (Richard Pilosof et Mike Quinn)
• Tim McElvaine (pdf - 25 KB)This link will open in a new windowUpdated on January 16, 2017
• LightwaterPartners Ltd (pdf - 82 KB)This link will open in a new windowUpdated on January 16, 2017(Richard Pilosof et Jerome Hass)
• KenmarAssociates (pdf - 116 KB)This link will open in a new windowUpdated on January 16, 2017 (Richard Pilosof et Ken Kivenko)
• SunLife Global Investments Canada (pdf - 3 MB)This link will open in a new windowUpdated on January 16, 2017 (Neil Blue)

• Regulatory Notice (pdf - 17 KB)This link will open in a new windowUpdated on September 21, 2016
• CSA Notice and Request for Comment (pdf - 281 KB)This link will open in a new windowUpdated on September 22, 2016
• Draft Regulation to repeal Regulation 81-104 respecting Commodity Pools (pdf - 14 KB)This link will open in a new windowUpdated on September 21, 2016"Regulation, repeal, 81-104, Commodity, Pools"
• Draft Regulation to amend Regulation 81-102 respecting Investment Funds (pdf - 63 KB)This link will open in a new windowUpdated on September 21, 2016"Regulation, amend, Regulation, 81-102, Investment, funds"
  • Administrative blacklined version of Regulation 81-102 respecting Investment Funds (pdf - 531 KB)This link will open in a new windowUpdated on September 26, 2016Mutual Funds
• Amendments to Policy Statement to Regulation 81-102 respecting Investment Funds (pdf - 25 KB)This link will open in a new windowUpdated on September 21, 2016"Amendments, Policy, Statement, regulation, 81-102, Investment, funds"
• Draft Regulation to amend Regulation 81-101 respecting Mutual Fund Prospectus Disclosure (pdf - 27 KB)This link will open in a new windowUpdated on September 21, 2016"Regulation, Amend, 81-101, Mutual, Fund, Prospectus, Disclosure"
• Regulation 81-107 respecting Independent Review Committee for Investment Funds (pdf - 14 KB)This link will open in a new windowUpdated on September 21, 2016"Regulation, amend, 81-107, Independent, Review, Committee, Investment, Funds"
• Amendments to Policy Statement to Regulation 81-107 respecting Independent Review Committee for Investment Funds (pdf - 9 KB)This link will open in a new windowUpdated on September 21, 2016
• Regulation 41-101 respecting General Prospectus Requirements (pdf - 19 KB)This link will open in a new windowUpdated on September 21, 2016"Regulation, amend, 41-101, general, prospectus, requirements"
• Regulation 81-106 respecting Investment Fund Continuous Disclosure (pdf - 19 KB)This link will open in a new windowUpdated on September 21, 2016"Regulation, amend, 81-106, Investment, Fund, Continuous, Disclosure"

• Regulatory Notice (pdf - 23 KB)This link will open in a new windowUpdated on August 17, 2016"Regulation, amend, 24-101, Institutional, Trade, Matching, Settlement"
• CSA Notice and Request for Comment (pdf - 93 KB)This link will open in a new windowUpdated on October 8, 2020Notice and Request for Comments:
• CSA Consultation Paper 24-402 (pdf - 881 KB)This link will open in a new windowUpdated on August 17, 2016"CSA, Consultation, 24-402, Policy, Considerations, Enhancing, Settlement, Discipline, T+2 Settlement Cycle Environment"
• Regulation to amend Regulation 24-101 respecting Institutional Trade Matching and Settlement (pdf - 71 KB)This link will open in a new windowUpdated on August 17, 2016"Regulation, amend, 24-101, Institutional, Trade, Matching, Settlement"
• Amendments to Policy Statement to Regulation 24-101 respecting Institutional Trade Matching and Settlement (pdf - 37 KB)This link will open in a new windowUpdated on August 17, 2016"Amendments, Policy Statement, Regulation, 24-101, Institutional, Trade, Matching, Settlement"

Comments received (comments are published int their original language):

• Barbara Amsden (pdf - 672 KB)This link will open in a new windowUpdated on December 6, 2016Cycle de règlement, j+3, j+2, Appariement, Fournisseur de service d’appariement, LCP/RCP, Livraison contre paiement, réception contre paiement, Settlement cycle, T+3, T+2, Matching, Matching service utility, DVP / RVP, Delivery against payment, receipt agains payment
• Canadian Capital Markets Association (pdf - 577 KB)This link will open in a new windowUpdated on November 7, 2016Cycle de règlement, j+3, j+2, Appariement, Fournisseur de service d’appariement, LCP/RCP, Livraison contre paiement, réception contre paiement, Settlement cycle, T+3, T+2, Matching, Matching service utility, DVP / RVP, Delivery against payment, receipt agains payment - Keith Evans
• CIBC World Markets Inc. (pdf - 672 KB)This link will open in a new windowUpdated on December 6, 2016Cycle de règlement, j+3, j+2, Appariement, Fournisseur de service d’appariement, LCP/RCP, Livraison contre paiement, réception contre paiement, Settlement cycle, T+3, T+2, Matching, Matching service utility, DVP / RVP, Delivery against payment, receipt agains payment - David Gillespie
• Investment Industry Association of Cananda (pdf - 612 KB)This link will open in a new windowUpdated on November 16, 2016Cycle de règlement, j+3, j+2, Appariement, Fournisseur de service d’appariement, LCP/RCP, Livraison contre paiement, réception contre paiement, Settlement cycle, T+3, T+2, Matching, Matching service utility, DVP / RVP, Delivery against payment, receipt agains payment (IIAC) - Jack Rando
• Omgeo Canada Matching Ltd - Julian A.C. Stapleford
  • Proposed Amendments to NI 24-101 Institutional Trade Matching and Settlement (PDF - 360 KB)This link will open in a new windowUpdated on December 6, 2016Cycle de règlement, j+3, j+2, Appariement, Fournisseur de service d’appariement, LCP/RCP, Livraison contre paiement, réception contre paiement, Settlement cycle, T+3, T+2, Matching, Matching service utility, DVP / RVP, Delivery against payment, receipt agains payment
  • Consultation Paper 24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environnement (PDF - 362 KB)This link will open in a new windowUpdated on December 6, 2016Cycle de règlement, j+3, j+2, Appariement, Fournisseur de service d’appariement, LCP/RCP, Livraison contre paiement, réception contre paiement, Settlement cycle, T+3, T+2, Matching, Matching service utility, DVP / RVP, Delivery against payment, receipt agains payment
• RBC Dominion Securities Inc. (pdf - 201 KB)This link will open in a new windowUpdated on December 6, 2016 - Jason O'Born

• Regulatory Notice (pdf - 19 KB)This link will open in a new windowUpdated on July 7, 2016
• CSA Notice and Request for Comment (pdf - 103 KB)This link will open in a new windowUpdated on July 7, 2016"CSA, Notice, Request, Comment, 31-103"
• Regulation to amend Regulation 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 106 KB)This link will open in a new windowUpdated on July 7, 2016
• Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 658 KB)This link will open in a new windowUpdated on July 7, 2016
• Regulation to amend Regulation 33-109 respecting registration information (pdf - 14 KB)This link will open in a new windowUpdated on July 7, 2016
• Regulation to amend the Derivatives Regulation (pdf - 8 KB)This link will open in a new windowUpdated on July 7, 2016

Comments received (comments are published in their original language)

• Advocis (pdf - 979 KB)This link will open in a new windowUpdated on October 25, 2016 (Greg Pollock, Wade A. Baldwin)
• Borden Ladner Gervais - BLG (pdf - 339 KB)This link will open in a new windowUpdated on October 25, 2016 (Rebecca Cowdery, Prema Thiele, Jason Brooks)
• Boyle + Co. (pdf - 373 KB)This link will open in a new windowUpdated on October 25, 2016 (Jim Boyle)
• The Canadian Advocacy Council for Canandian CFA Institure Societies - CFA (PDF - 213 KB)This link will open in a new windowUpdated on October 25, 2016 (Michael Thom)
• Canadian Investor Protection Fund - CIPF (pdf - 102 KB)This link will open in a new windowUpdated on October 25, 2016 (Rozanne Reszel)
• Capital Group/Capital International Asset Management - CIAM (pdf - 195 KB)This link will open in a new windowUpdated on October 25, 2016 (Mark Tiffin)
• Federation of Mutual Fund Dealers - FMFD (pdf - 213 KB)This link will open in a new windowUpdated on October 25, 2016 (Sandra L. Kegie)
• Healthcare of Ontario Pension Plan - HOOPP (pdf - 383 KB)This link will open in a new windowUpdated on October 25, 2016 (David Long)
• The Investment Funds Institute of Canada - IFIC (pdf - 132 KB)This link will open in a new windowUpdated on October 27, 2016 (Ralf Hensel)
• IGM Financial - IGM (pdf - 753 KB)This link will open in a new windowUpdated on October 25, 2016 (Jeffrey R. Carney)
• Investment Industry Association of Canada - IIAC (pdf - 440 KB)This link will open in a new windowUpdated on October 25, 2016 (Naomi Solomon)
• Invesco (pdf - 1 MB)This link will open in a new windowUpdated on October 27, 2016 (Julianna Ahn)
• Pacific Spirit Investment Management Inc. (pdf - 309 KB)This link will open in a new windowUpdated on October 27, 2016 (John S. Clark)
• PearTree (pdf - 368 KB)This link will open in a new windowUpdated on October 25, 2016 (Lisa G. Davis)
• Portfolio Management Association of Canada - PMAC (pdf - 142 KB)This link will open in a new windowUpdated on October 25, 2016 (Katie Walmsley, Margaret Gunawan)
• On behalf of several entities within RBC  (pdf - 46 KB)This link will open in a new windowUpdated on October 26, 2016(Nick Cardinale, Kelley Hoffer, Kevin Bresler, Martha Rafuse, Larry Neilsen)
• On behalf of certain members of the Financial Products & Services practice group at Stikeman Elliott LLP (pdf - 145 KB)This link will open in a new windowUpdated on October 26, 2016 (Junaid Subhan on her own behalf and on behalf of others)
• Veronica Armstrong Law Corporation - VALC (pdf - 206 KB)This link will open in a new windowUpdated on October 25, 2016 (Veronica Armstrong)