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.
Proposed Regulation to amend Regulation 45-106 respecting Prospectus and Registration Exemptions relating to the Offering Memorandum Exemption
Previous consultation
June 18, 2014
See details on Proposed Regulation to amend Regulation 45-106 respecting Prospectus and Registration Exemptions relating to the Offering Memorandum Exemption
- Notice (pdf - 138 KB)
This link will open in a new windowUpdated on March 19, 2014Offering Memorandum Exemption
- Regulation to amend Regulation 45-106 respecting Prospectus and Registration Exemptions (pdf - 96 KB)
This link will open in a new windowUpdated on March 19, 2014Offering Memorandum Exemption
- CSA Staff Notice 45-314: Consolidated List of Current CSA Exempt Market Initiatives (pdf - 93 KB)
This link will open in a new windowUpdated on March 20, 2014List of Current CSA Exempt Market Initiatives
Draft Regulation 45-108 respecting Crowdfunding and Draft Blanket Orders on the Start-Up Crowdfunding Prospectus and Registration Exemption in Québec
Previous consultation
June 18, 2014
See details on Draft Regulation 45-108 respecting Crowdfunding and Draft Blanket Orders on the Start-Up Crowdfunding Prospectus and Registration Exemption in Québec
- Regulatory Notice (pdf - 21 KB)
This link will open in a new windowUpdated on March 19, 2014
- Multilateral CSA Notice (pdf - 157 KB)
This link will open in a new windowUpdated on March 19, 2014Crowdfunding
- Summary of the proposed crowdfunding prospectus exemption (pdf - 279 KB)
This link will open in a new windowUpdated on March 19, 2014Crowdfunding
- Summary of the proposed registration framework (pdf - 176 KB)
This link will open in a new windowUpdated on March 19, 2014Crowdfunding
- Regulation 45-108 respecting Crowdfunding (pdf - 218 KB)
This link will open in a new windowUpdated on March 19, 2014Crowdfunding
- Policy Statement to Regulation 45-108 respecting Crowdfunding (pdf - 98 KB)
This link will open in a new windowUpdated on March 19, 2014Crowdfunding
- Blanket Orders on the Start-Up Crowdfunding Prospectus and Registration Exemption in Québec and Forms (pdf - 219 KB)
This link will open in a new windowUpdated on March 19, 2014Blanket order - Crowdfunding
- CSA Staff Notice 45-314: Consolidated List of Current CSA Exempt Market Initiatives (pdf - 93 KB)
This link will open in a new windowUpdated on March 20, 2014List of Current CSA Exempt Market Initiatives
Comments received (comments are published in their original language)
- Alanna Holowinsky
- AUM Law (Erez Blumberger)
- Canadian Advocacy Council for Canadian CFA Institute Societies (Ada Litvinov)
- Canadian Foundation for Advancement of Investor Rights (Neil Gross)
- CoPower (David Berliner, Larry Markowitz, Raphael Bouskila and Russel Pullan)
- David Bethune
- Derek Simon
- Duncun Ebata
- Dylan Sagar
- Equity Crowdfunding Alliance of Canada (Brian Koscak and Calvin McElroy)
- Fonds de solidarité FTQ (Philippe Bonin)
- Invest Crowdfund Québec (Diana Yazidjian, Jean-François Hudon, Maxime Lévesque et François Noël)
- Kenmar Associates
- National Crowdfunding Association of Canada (Craig Asano)
- Optimize Capital Markets (Matthew J. McGrath)
- PCMA Private Capital Markets Association (Brian Koscak and Geoffrey Ritchie)
- Prospectors & Developers Association of Canada (Rodney N. Thomas)
- René Raymond Sugar
- RBC
- RBC Dominion Securities Inc. (Nick Cardinale)
- RBC Global Asset Management Inc. (Larry Neilsen)
- RBC PH&N Investment Counsel Inc. (Martha Rafuse)
- SIPA
- Stewart McKelvey (Andrew Burke and Gavin Stuttard)
- The Bay Wind Field Inc. (David M. Walton)
- The Investment Funds Institute of Canada (pdf - 251 KB)
This link will open in a new windowUpdated on June 23, 2014"consultation,draft,proposed,regulation to amend regulation 45-106,prospectus,registration,exemption,offering,memorandum,capital raising,risk acknowledgement,eligible investor,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,inscription,placement au moyen d’une notice d’offre,notice d’offre,investisseur admissible,reconnaissance de risque,collecte de capitaux" (Ralf Hensel)
- The McKenzie Accelerator (Michael D. Tripp)
- TMX Group (Kevan Cowan)
Draft Regulation to amend Regulation 45-106 respecting Prospectus and Registration Exemptions Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions (pdf - 2 MB)
This link will open in a new windowUpdated on February 27, 2014
Previous consultation
May 28, 2014
See details on Draft Regulation to amend Regulation 45-106 respecting Prospectus and Registration Exemptions Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions
Comments received (comments are published in their original language)
- Accredit inc. (pdf - 8 MB)
This link will open in a new windowUpdated on June 2, 2014"consultation,draft,proposed,regulation to amend regulation 45-106,prospectus,registration,exemption,offering,memorandum,capital raising,risk acknowledgement,eligible investor,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,inscription,placement au moyen d’une notice d’offre,notice d’offre,investisseur admissible,reconnaissance de risque,collecte de capitaux" (Malick Maachi)
- Advocis (pdf - 770 KB)
This link will open in a new windowUpdated on June 10, 2014"consultation,draft,regulation to amend regulation 45-106,regulation 45-106,exemption,registration,accredited,investor,minimum,amount,investment,capital raising,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,prospectus,inscription,concordant,placement,investisseur,qualifié,investissement,somme,minimale,collecte capitaux" (Greg Pollock and Harley Lockhart)
- Alternative Investment Management Association - AIMA (pdf - 177 KB)
This link will open in a new windowUpdated on June 2, 2014 (Ian Pember)
- Blakes Cassels & Graydon (pdf - 1 MB)
This link will open in a new windowUpdated on May 30, 2014 (Ross McKee and Pamela Hughes)
- Canadian Advocacy Council for Canadian CFA Institute Societies - CAC (pdf - 73 KB)
This link will open in a new windowUpdated on June 2, 2014Draft Regulation to amend Regulation 45-106 respecting Prospectus and Registration Exemptions and concordant regulation - Accredited Investor and Minimum Amount Investment Prospectus Exemptions (Ada Litvinov)
- Cowan Asset Management (pdf - 67 KB)
This link will open in a new windowUpdated on May 30, 2014"consultation,draft,proposed,regulation to amend regulation 45-106,prospectus,registration,exemption,offering,memorandum,capital raising,risk acknowledgement,eligible investor,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,inscription,placement au moyen d’une notice d’offre,notice d’offre,investisseur admissible,reconnaissance de risque,collecte de capitaux" (Michael Kosmalski)
- Darrin Hopkins (pdf - 102 KB)
This link will open in a new windowUpdated on June 10, 2014"consultation,draft,proposed,regulation to amend regulation 45-106,prospectus,registration,exemption,offering,memorandum,capital raising,risk acknowledgement,eligible investor,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,inscription,placement au moyen d’une notice d’offre,notice d’offre,investisseur admissible,reconnaissance de risque,collecte de capitaux"
- Davies Ward Phillips & Vineberg LLP (pdf - 53 KB)
This link will open in a new windowUpdated on June 2, 2014"consultation,draft,proposed,regulation to amend regulation 45-106,prospectus,registration,exemption,offering,memorandum,capital raising,risk acknowledgement,eligible investor,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,inscription,placement au moyen d’une notice d’offre,notice d’offre,investisseur admissible,reconnaissance de risque,collecte de capitaux" (Anthony Spadaro)
- Dentons Canada (pdf - 33 KB)
This link will open in a new windowUpdated on May 30, 2014"consultation,draft,proposed,regulation to amend regulation 45-106,prospectus,registration,exemption,offering,memorandum,capital raising,risk acknowledgement,eligible investor,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,inscription,placement au moyen d’une notice d’offre,notice d’offre,investisseur admissible,reconnaissance de risque,collecte de capitaux" (Tom Houston)
- Fiore Management & Advisory Corp. (pdf - 115 KB)
This link will open in a new windowUpdated on June 2, 2014"consultation,draft,proposed,regulation to amend regulation 45-106,prospectus,registration,exemption,offering,memorandum,capital raising,risk acknowledgement,eligible investor,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,inscription,placement au moyen d’une notice d’offre,notice d’offre,investisseur admissible,reconnaissance de risque,collecte de capitaux" (Gordon Keep)
- Haywood Securities (PDF - 65 KB)
This link will open in a new windowUpdated on June 2, 2014Draft Regulation to amend Regulation 45-106 respecting Prospectus and Registration Exemptions and concordant regulation - Accredited Investor and Minimum Amount Investment Prospectus Exemptions (G. Frank Stronach)
- Investment Industry Association of Canada (pdf - 157 KB)
This link will open in a new windowUpdated on June 2, 2014"consultation,draft,proposed,regulation to amend regulation 45-106,prospectus,registration,exemption,offering,memorandum,capital raising,risk acknowledgement,eligible investor,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,inscription,placement au moyen d’une notice d’offre,notice d’offre,investisseur admissible,reconnaissance de risque,collecte de capitaux" - IIAC (Susan Copland)
- Osler, Hoskin & Harcourt LLP (pdf - 82 KB)
This link will open in a new windowUpdated on June 2, 2014"consultation,draft,regulation to amend regulation 45-106,regulation 45-106,exemption,registration,accredited,investor,minimum,amount,investment,capital raising,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,prospectus,inscription,concordant,placement,investisseur,qualifié,investissement,somme,minimale,collecte capitaux"
- Portfolio Management Association of Canada - PMAC (pdf - 201 KB)
This link will open in a new windowUpdated on June 2, 2014"consultation,draft,regulation to amend regulation 45-106,regulation 45-106,exemption,registration,accredited,investor,minimum,amount,investment,capital raising,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,prospectus,inscription,concordant,placement,investisseur,qualifié,investissement,somme,minimale,collecte capitaux" (Katie Walmsley et Scott Mahaffy)
- PCMA Private Capital Markets Association of Canada (pdf - 2 MB)
This link will open in a new windowUpdated on June 18, 2014"consultation,draft,regulation to amend regulation 45-106,regulation 45-106,exemption,registration,accredited,investor,minimum,amount,investment,capital raising,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,prospectus,inscription,concordant,placement,investisseur,qualifié,investissement,somme,minimale,collecte capitaux" (Brian Koscak & Geoffrey Ritchie)
- Securities Industry and Financial Markets Association - SIFMA (pdf - 705 KB)
This link will open in a new windowUpdated on June 2, 2014"consultation,draft,proposed,regulation to amend regulation 45-106,prospectus,registration,exemption,offering,memorandum,capital raising,risk acknowledgement,eligible investor,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,inscription,placement au moyen d’une notice d’offre,notice d’offre,investisseur admissible,reconnaissance de risque,collecte de capitaux" (Sean Davy)
- Siskinds LLP (pdf - 911 KB)
This link will open in a new windowUpdated on May 30, 2014 (Dimitri Lascaris and Anthony O'Brien)
- TMX Group (pdf - 48 KB)
This link will open in a new windowUpdated on May 30, 2014"consultation,draft,proposed,regulation to amend regulation 45-106,prospectus,registration,exemption,offering,memorandum,capital raising,risk acknowledgement,eligible investor,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,inscription,placement au moyen d’une notice d’offre,notice d’offre,investisseur admissible,reconnaissance de risque,collecte de capitaux" (Kevan Cowan)
- Walton International Group Inc. (pdf - 47 KB)
This link will open in a new windowUpdated on May 30, 2014"consultation,draft,proposed,regulation to amend regulation 45-106,prospectus,registration,exemption,offering,memorandum,capital raising,risk acknowledgement,eligible investor,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,inscription,placement au moyen d’une notice d’offre,notice d’offre,investisseur admissible,reconnaissance de risque,collecte de capitaux" (Mark McKenna)
- Cawkell Brodie LLP (pdf - 42 KB)
This link will open in a new windowUpdated on June 2, 2014"consultation,draft,regulation to amend regulation 45-106,regulation 45-106,exemption,registration,accredited,investor,minimum,amount,investment,capital raising,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,prospectus,inscription,concordant,placement,investisseur,qualifié,investissement,somme,minimale,collecte capitaux" (Kenneth A. Cawkell)
- FAIR (pdf - 841 KB)
This link will open in a new windowUpdated on June 2, 2014 - Canadian Foundation for Advancement of Investor Rights (Neil Gross and Marian Passmore)
- Fasken Martineau (pdf - 312 KB)
This link will open in a new windowUpdated on June 4, 2014 (Charlotte Bell and Lata Casciano)
- NEMA (pdf - 80 KB)
This link will open in a new windowUpdated on June 2, 2014"consultation,draft,regulation to amend regulation 45-106,regulation 45-106,exemption,registration,accredited,investor,minimum,amount,investment,capital raising,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,prospectus,inscription,concordant,placement,investisseur,qualifié,investissement,somme,minimale,collecte capitaux" - National Exempt Market Association (Craig Skauge et Cora Pettipas)
- PDAC (pdf - 392 KB)
This link will open in a new windowUpdated on June 2, 2014"consultation,draft,regulation to amend regulation 45-106,regulation 45-106,exemption,registration,accredited,investor,minimum,amount,investment,capital raising,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,prospectus,inscription,concordant,placement,investisseur,qualifié,investissement,somme,minimale,collecte capitaux" - Prospectors & Developers Association of Canada (Ross Gallinger)
- RaeLipskie Partnership (pdf - 121 KB)
This link will open in a new windowUpdated on June 5, 2014Comment letter from Brian E. Lipskie (Rae & Lipskie Investment Counsel Inc.) dated April 9, 2014; re CSA Notice and Request for Comment - Proposed Amendments to NI 45-106 Prospectus and Registration Exemptions Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions (Brian Lipskie)
- RBC (pdf - 41 KB)
This link will open in a new windowUpdated on June 6, 2014 Dominion Securities Inc. (Nick Cardinale), RBC Direct Investing Inc. (Kevin Bresler), RBC PH&N Investment Counsel Inc. (Martha Rafuse) and RBC Global Asset Management Inc. (Larry Neilsen)
- Reed Pope Law Corporation (pdf - 216 KB)
This link will open in a new windowUpdated on June 5, 2014"consultation,draft,regulation to amend regulation 45-106,regulation 45-106,exemption,registration,accredited,investor,minimum,amount,investment,capital raising,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,prospectus,inscription,concordant,placement,investisseur,qualifié,investissement,somme,minimale,collecte capitaux" (R. Keith Reed and Sarah Cunningham)
- Stikeman Elliott LLp (pdf - 186 KB)
This link will open in a new windowUpdated on June 2, 2014"consultation,draft,regulation to amend regulation 45-106,regulation 45-106,exemption,registration,accredited,investor,minimum,amount,investment,capital raising,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,prospectus,inscription,concordant,placement,investisseur,qualifié,investissement,somme,minimale,collecte capitaux" (Laura Levine et al.)
- Securities Industry and Financial Markets Association (pdf - 696 KB)
This link will open in a new windowUpdated on June 4, 2014"consultation,draft,proposed,regulation to amend regulation 45-106,prospectus,registration,exemption,offering,memorandum,capital raising,risk acknowledgement,eligible investor,projet,règlement modifiant le règlement 45-106,règlement 45-106,dispense,inscription,placement au moyen d’une notice d’offre,notice d’offre,investisseur admissible,reconnaissance de risque,collecte de capitaux" (Sean Davy)
Draft Regulation to amend Regulation 81-101 respecting Mutual Fund Prospectus Disclosure - Implementation of Stage 3 of Point of Sale Disclosure for Mutual Funds - Point of Sale Delivery of Fund Facts (pdf - 433 KB)
This link will open in a new windowUpdated on March 25, 2014Point of Sale delivery of Funds Facts
Previous consultation
May 26, 2014
See details on Draft Regulation to amend Regulation 81-101 respecting Mutual Fund Prospectus Disclosure - Implementation of Stage 3 of Point of Sale Disclosure for Mutual Funds - Point of Sale Delivery of Fund Facts
Comments received (comments are published in their original language)
- Investor Advisory Panel (pdf - 79 KB)
This link will open in a new windowUpdated on April 30, 2014Transmission de l'aperçu du fonds au moment de la souscription
- Kenmar Associates (pdf - 207 KB)
This link will open in a new windowUpdated on April 14, 2014Transmission de l'aperçu du fonds au moment de la souscription
- CIBC Paul Bent (pdf - 106 KB)
This link will open in a new windowUpdated on May 26, 2014Transmission de l'aperçu du fonds au moment de la souscription
- Fidelity Investments Canada (pdf - 259 KB)
This link will open in a new windowUpdated on May 26, 2014Transmission de l'aperçu du fonds au moment de la souscription
- IFIC Canada (pdf - 36 KB)
This link will open in a new windowUpdated on May 26, 2014Transmission de l'aperçu du fonds au moment de la souscription
- IIAC-ACCVM (pdf - 401 KB)
This link will open in a new windowUpdated on May 29, 2014Point of Sale Delivery of Fund Facts
- BLG Toronto (pdf - 266 KB)
This link will open in a new windowUpdated on May 29, 2014Point of Sale Delivery of Fund Facts
- Broadridge (pdf - 218 KB)
This link will open in a new windowUpdated on May 29, 2014Transmission de l'aperçu du fonds au moment de la souscription
- Craig Burley FAIR (pdf - 667 KB)
This link will open in a new windowUpdated on May 29, 2014Point of Sale Delivery of Fund Facts
- Dynamic Funds (pdf - 28 KB)
This link will open in a new windowUpdated on May 29, 2014Point of Sale Delivery of Fund Facts
- Edward Jones (pdf - 457 KB)
This link will open in a new windowUpdated on May 29, 2014Transmission de l'aperçu du fonds au moment de la souscription
- Eric Adelson Invesco (pdf - 88 KB)
This link will open in a new windowUpdated on May 29, 2014Point of Sale Delivery of Fund Facts
- Fasken Martineau (pdf - 243 KB)
This link will open in a new windowUpdated on May 29, 2014Point of Sale Delivery of Fund Facts
- Jeffrey J. Carney Mackenzie (pdf - 207 KB)
This link will open in a new windowUpdated on May 29, 2014Point of Sale Delivery of Fund Facts
- Leo Salom TD Wealth (pdf - 8 MB)
This link will open in a new windowUpdated on May 29, 2014Point of Sale Delivery of Fund Facts
- Michel Falk NBC (pdf - 385 KB)
This link will open in a new windowUpdated on May 29, 2014Point of Sale Delivery of Fund Facts
- RBC (pdf - 223 KB)
This link will open in a new windowUpdated on May 29, 2014Point of Sale Delivery of Fund Facts
- Neil Macdonald,Scotiabank (pdf - 47 KB)
This link will open in a new windowUpdated on May 30, 2014Point of Sale Delivery of Fund Facts
- Yvan-Pierre Grimard Mouvement des caisses Desjardins (pdf - 2 MB)
This link will open in a new windowUpdated on May 29, 2014Transmission de l’aperçu du fonds au moment de la souscription
- Anthony Boright, InvestorPOS Inc. (pdf - 387 KB)
This link will open in a new windowUpdated on June 4, 2014Point of Sale Delivery of Fund Facts
Regulation to amend Regulation 45-106 respecting Prospectus and Registration Exemptions and concordant regulation – Short-Term Debt Prospectus Exemption and Proposed Securitized Products Amendments (pdf - 342 KB)
This link will open in a new windowUpdated on January 23, 2014Short-Term Debt Prospectus Exemption and Proposed Securitized Products Amendments
Previous consultation
April 23, 2014
See details on Regulation to amend Regulation 45-106 respecting Prospectus and Registration Exemptions and concordant regulation – Short-Term Debt Prospectus Exemption and Proposed Securitized Products Amendments
Comments received (comments are published in their original language)
- BMO Capital Markets (pdf - 459 KB)
This link will open in a new windowUpdated on April 25, 2014Prospectus and Registration Exemptions Relating to the Short-Term Debt Prospectus Exemption and Proposed Securitized Amendments (the « Proposed Amendments »)
- The Canadian Advocacy Council for Canadian CFA Institute Societies (pdf - 26 KB)
This link will open in a new windowUpdated on April 25, 2014Prospectus and Registration Exemptions Relating to the Short-Term Debt Prospectus Exemption and Proposed Securitized Amendments (the « Proposed Amendments »)
- CIBC (pdf - 219 KB)
This link will open in a new windowUpdated on April 25, 2014Prospectus and Registration Exemptions Relating to the Short-Term Debt Prospectus Exemption and Proposed Securitized Amendments (the « Proposed Amendments »)
- Canadian Tire Corporation, Limited (pdf - 245 KB)
This link will open in a new windowUpdated on April 25, 2014Prospectus and Registration Exemptions Relating to the Short-Term Debt Prospectus Exemption and Proposed Securitized Amendments (the « Proposed Amendments »)
- Stikeman Elliott LLP (pdf - 153 KB)
This link will open in a new windowUpdated on April 25, 2014Prospectus and Registration Exemptions Relating to the Short-Term Debt Prospectus Exemption and Proposed Securitized Amendments (the « Proposed Amendments »)
- First National Financing LP (pdf - 322 KB)
This link will open in a new windowUpdated on April 25, 2014Prospectus and Registration Exemptions Relating to the Short-Term Debt Prospectus Exemption and Proposed Securitized Amendments (the « Proposed Amendments »)
- Moody’s Investors Service (pdf - 119 KB)
This link will open in a new windowUpdated on April 25, 2014Prospectus and Registration Exemptions Relating to the Short-Term Debt Prospectus Exemption and Proposed Securitized Amendments (the « Proposed Amendments »)
- DBRS (pdf - 368 KB)
This link will open in a new windowUpdated on April 25, 2014Prospectus and Registration Exemptions Relating to the Short-Term Debt Prospectus Exemption and Proposed Securitized Amendments (the « Proposed Amendments »)
- FAIR (pdf - 523 KB)
This link will open in a new windowUpdated on April 25, 2014Prospectus and Registration Exemptions Relating to the Short-Term Debt Prospectus Exemption and Proposed Securitized Amendments (the « Proposed Amendments »)
- Investment Industry Association of Canada (IIAC) Association canadienne du commerce des valeurs mobilières (ACCVM) (pdf - 570 KB)
This link will open in a new windowUpdated on April 25, 2014Prospectus and Registration Exemptions Relating to the Short-Term Debt Prospectus Exemption and Proposed Securitized Amendments (the « Proposed Amendments »)
- RBC Capital Markets (pdf - 609 KB)
This link will open in a new windowUpdated on April 25, 2014Prospectus and Registration Exemptions Relating to the Short-Term Debt Prospectus Exemption and Proposed Securitized Amendments (the « Proposed Amendments »)
- Structured Finance Industry Group (pdf - 248 KB)
This link will open in a new windowUpdated on April 25, 2014Prospectus and Registration Exemptions Relating to the Short-Term Debt Prospectus Exemption and Proposed Securitized Amendments (the « Proposed Amendments ») (SFIG)
- Scotia Capital Inc. (pdf - 254 KB)
This link will open in a new windowUpdated on April 23, 2014
- TD Securities (pdf - 914 KB)
This link will open in a new windowUpdated on April 25, 2014Prospectus and Registration Exemptions Relating to the Short-Term Debt Prospectus Exemption and Proposed Securitized Amendments (the « Proposed Amendments »)
Regulation 24-503 respecting Clearing House, Central Securities Depository and Settlement System Requirements (pdf - 803 KB)
This link will open in a new windowUpdated on December 17, 2013"draft,regulation,24-503,clearing house,central securities depository,settlement system requirements,derivatives,policy statement,consultation"
Previous consultation
March 19, 2014
See details on Regulation 24-503 respecting Clearing House, Central Securities Depository and Settlement System Requirements
Comments received (comments are published in their original language)
- Groupe TMX Limitée (pdf - 217 KB)
This link will open in a new windowUpdated on March 25, 2014Consultation
- LCH Clearnet (pdf - 664 KB)
This link will open in a new windowUpdated on March 25, 2014Consultation
- TMX Group Limited (pdf - 134 KB)
This link will open in a new windowUpdated on March 25, 2014Consultation
CSA Notice 81-324 and Request for Comment - Propsed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts (pdf - 176 KB)
This link will open in a new windowUpdated on December 12, 2013
Previous consultation
March 12, 2014
See details on CSA Notice 81-324 and Request for Comment - Propsed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts
Comments received (comments are published in their original language)
- Advocis (pdf - 100 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- AGF (pdf - 74 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Alternative Investment Management Association (AIMA) (pdf - 143 KB)
This link will open in a new windowUpdated on March 20, 2014Méthode uniformisée de classification du risque des OPC
- Andrew Teasdale (pdf - 170 KB)
This link will open in a new windowUpdated on March 20, 2014Méthode uniformisée de classification du risque des OPC
- Arthur Ross (pdf - 270 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Association of Canadian Compliance Professionals (pdf - 382 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Borden Ladner Gervais (pdf - 56 KB)
This link will open in a new windowUpdated on March 19, 2014Méthode uniformisée de classification du risque des OPC
- Bullion Management Services Inc. (pdf - 628 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Canadian ETF Association (CETFA) (pdf - 134 KB)
This link will open in a new windowUpdated on March 13, 2014
- Capital Group (pdf - 135 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- CFA (pdf - 44 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- CI Invesments Inc. (pdf - 31 KB)
This link will open in a new windowUpdated on March 19, 2014Méthode uniformisée de classification du risque des OPC
- CIBC (pdf - 103 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Consumers Council of Canada (pdf - 260 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Dan Hallett (pdf - 891 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Debra McFadden (pdf - 87 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Denys Picard (pdf - 64 KB)
This link will open in a new windowUpdated on March 20, 2014Méthode uniformisée de classification du risque des OPC
- FAIR Canadian Foundation of Advancement of Investor Rights (pdf - 730 KB)
This link will open in a new windowUpdated on March 20, 2014Méthode uniformisée de classification du risque des OPC
- Federation of Mutual Fund Dealers (pdf - 179 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Fidelity Investments Canada ULC (pdf - 465 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Financial Planning Standards Council (pdf - 185 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Franklin Templeton Investments Corp. (pdf - 648 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Fundata (pdf - 848 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- George Christison (pdf - 136 KB)
This link will open in a new windowUpdated on March 14, 2014Méthode uniformisée de classification du risque des OPC
- Hollis Wealth (pdf - 57 KB)
This link will open in a new windowUpdated on March 14, 2014Méthode uniformisée de classification du risque des OPC
- Invesco (pdf - 115 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Investment Industry Association of Canada (pdf - 569 KB)
This link will open in a new windowUpdated on March 14, 2014Méthode uniformisée de classification du risque des OPC
- Investment Planning Counsel Inc. (pdf - 87 KB)
This link will open in a new windowUpdated on March 27, 2014Méthode uniformisée de classification du risque des OPC
- Investor Advisory Panel (pdf - 157 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Investors Group (pdf - 112 KB)
This link will open in a new windowUpdated on March 17, 2014Méthode uniformisée de classification du risque des OPC
- Larry Elford (pdf - 27 KB)
This link will open in a new windowUpdated on March 14, 2014Méthode uniformisée de classification du risque des OPC
- Mackenzie Investments
- Morningstar Research Inc. (pdf - 352 KB)
This link will open in a new windowUpdated on March 13, 2014
- Mouvement d'éducation et de défense des actionnaires (pdf - 900 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Mouvement des caisses Desjardins (pdf - 803 KB)
This link will open in a new windowUpdated on March 14, 2014Méthode uniformisée de classification du risque des OPC
- National Bank Securities (pdf - 426 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- NEI Investments (pdf - 138 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Neil Murphy – Potfolio Audit (pdf - 64 KB)
This link will open in a new windowUpdated on March 19, 2014Méthode uniformisée de classification du risque des OPC
- Odette Scholl of Business (pdf - 214 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Portfolio Management Association of Canada (pdf - 89 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- PortfolioAid (pdf - 2 MB)
This link will open in a new windowUpdated on March 20, 2014Méthode uniformisée de classification du risque des OPC
- Quadrus Investment Services Ltd. (pdf - 183 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- RBC (pdf - 83 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Scotia Securities Inc. (pdf - 6 MB)
This link will open in a new windowUpdated on March 14, 2014Méthode uniformisée de classification du risque des OPC
- Small Investor Protection Association (pdf - 426 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Stan Gourley (pdf - 81 KB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
- Standard Life (pdf - 135 KB)
This link will open in a new windowUpdated on March 14, 2014Méthode uniformisée de classification du risque des OPC
- TD Asset Management Inc. (pdf - 4 MB)
This link will open in a new windowUpdated on March 14, 2014Méthode uniformisée de classification du risque des OPC
- The Investment Funds Institute of Canada (IFIC) (pdf - 2 MB)
This link will open in a new windowUpdated on March 12, 2014Méthode uniformisée de classification du risque des OPC
Regulation to amend Regulation 33-105 respecting Underwriting Conflicts (pdf - 184 KB)
This link will open in a new windowUpdated on November 28, 2013"request,comment,draft,regulation,amend,33-105,underwriting conflicts"
Previous consultation
February 26, 2014
See details on Regulation to amend Regulation 33-105 respecting Underwriting Conflicts
Comments received (comments are published in their original language)
Regulation 45-107 respecting Listing Representation and Statutory Rights of Action Disclosure Exemptions (pdf - 115 KB)
This link will open in a new windowUpdated on November 28, 2013"request,comment,draft,Regulation,45-107,Listing Representation,Statutory Rights,Action Disclosure Exemptions"
Previous consultation
February 26, 2014
See details on Regulation 45-107 respecting Listing Representation and Statutory Rights of Action Disclosure Exemptions
Comments received (comments are published in their original language)
- Davies
- Fund Managers
- Alberta Investment Management Corporation
- Caisse de dépôt et placement du Québec
- Ontario Teachers' Pension Plan Board
- RBC Global Asset Management Inc.
- SIFMA