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

• Regulatory Notice (pdf - 24 KB)This link will open in a new windowUpdated on February 4, 2021Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines.
• CSA Notice of Consultation (pdf - 201 KB)This link will open in a new windowUpdated on February 4, 2021Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines
• Regulation to amend Regulation 33-109 (pdf - 242 KB)This link will open in a new windowUpdated on February 4, 2021Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines.
• Amendments to Policy Statement to Regulation 33-109  (pdf - 79 KB)This link will open in a new windowUpdated on February 4, 2021Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines.
• Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 21 KB)This link will open in a new windowUpdated on February 4, 2021
• Amendments to Policy Statement to Regulation 31-103  (pdf - 52 KB)This link will open in a new windowUpdated on February 4, 2021

Comments received (comments are published in their original language)

Advocis (pdf - 298 KB)This link will open in a new windowUpdated on June 10, 2021consultation réglementaire règlement 33-109 - Greg Pollock

AIMA (pdf - 1 MB)This link will open in a new windowUpdated on June 10, 2021consultation réglementaire règlement 33-109 - Claire Van Wyk-Allan

CAC (pdf - 188 KB)This link will open in a new windowUpdated on June 10, 2021consultation réglementaire règlement 33-109

CAPITAL Group (pdf - 138 KB)This link will open in a new windowUpdated on June 10, 2021consultation réglementaire règlement 33-109 - Rick Headrick

Fair Canada (pdf - 214 KB)This link will open in a new windowUpdated on June 10, 2021consultation réglementaire règlement 33-109 - Jean-Paul Bureaud

IFB (pdf - 244 KB)This link will open in a new windowUpdated on June 10, 2021consultation réglementaire règlement 33-109 - Nancy Allan

IFIC (pdf - 330 KB)This link will open in a new windowUpdated on June 10, 2021consultation réglementaire règlement 33-109 - Arnie Hochman

IGM (pdf - 154 KB)This link will open in a new windowUpdated on June 10, 2021consultation réglementaire règlement 33-109 - Ronda Goldberg

IIAC (pdf - 698 KB)This link will open in a new windowUpdated on June 10, 2021consultation réglementaire règlement 33-109 - Susan Copland - Michelle Alexander

PMAC (pdf - 261 KB)This link will open in a new windowUpdated on June 10, 2021consultation réglementaire règlement 33-109 - Katie Walmsley

Portfolio Strategies (pdf - 814 KB)This link will open in a new windowUpdated on June 10, 2021consultation réglementaire règlement 33-109 - Mark Kent

Primerica (pdf - 269 KB)This link will open in a new windowUpdated on June 10, 2021consultation réglementaire règlement 33-109 - John Adams

Sun Life (pdf - 69 KB)This link will open in a new windowUpdated on June 10, 2021consultation réglementaire règlement 33-109 - Karen Woodman

PCMA (pdf - 302 KB)This link will open in a new windowUpdated on June 10, 2021consultation réglementaire règlement 33-109- Brian Koscakm, David Gilkes, Nadine Milne, Peter Dunne

• Regulatory and Request for comment Notice (pdf - 39 KB)This link will open in a new windowUpdated on March 18, 2021"Regulatory, Request for Comment, Notice, Regulation, distribution of syndicated mortgages"
• Regulation respecting the distribution of syndicated mortgages (pdf - 21 KB)This link will open in a new windowUpdated on March 18, 2021"draft, Regulation, distribution of syndicated mortgages"

• Consultation Paper 25-403 (pdf - 277 KB)This link will open in a new windowUpdated on December 3, 2020Activist Short Selling.

Comments received (comments are published in their original language)

Alternative Investment Management Association Canada (AIMA) (pdf - 338 KB)This link will open in a new windowUpdated on May 5, 2021La vente à découvert activiste - Adam Jacobs-Dean et al.

Anson Funds (pdf - 262 KB)This link will open in a new windowUpdated on May 5, 2021La vente à découvert activiste - Laura Salvatori

Badger Daylighting Ltd. (pdf - 595 KB)This link will open in a new windowUpdated on May 5, 2021La vente à découvert activiste - Paul Vanderberg and Glen Roane

Canadian Advocacy Council of CFA Societies Canada (pdf - 244 KB)This link will open in a new windowUpdated on May 5, 2021La vente à découvert activiste

Canadian Investor Relation Institute (CIRI) (pdf - 194 KB)This link will open in a new windowUpdated on May 5, 2021La vente à découvert activiste - Yvette Lokker

Corus Entertainment Inc. (pdf - 667 KB)This link will open in a new windowUpdated on May 7, 2021La vente à découvert activiste - John R. Gossling

Davies (pdf - 182 KB)This link will open in a new windowUpdated on May 12, 2021La vente à découvert activiste - Patricia L. Olasker et al.

Exchange Income Corporation (pdf - 73 KB)This link will open in a new windowUpdated on May 5, 2021La vente à découvert activiste - Mike Pyle

Finning International Inc. (pdf - 123 KB)This link will open in a new windowUpdated on May 5, 2021La vente à découvert activiste - Amanda Hobson

Fiore Management & Advisory Corp. (pdf - 1 MB)This link will open in a new windowUpdated on May 7, 2021La vente à découvert activiste - Gordon Keep

Global Principles for Sustainable Securities Lending (Global PSSL) (pdf - 278 KB)This link will open in a new windowUpdated on May 7, 2021La vente à découvert activiste - Radek Stech et al.

McMillan (pdf - 268 KB)This link will open in a new windowUpdated on May 12, 2021La vente à découvert activiste - Charlotte Conlin et al.

Neo Exchange Inc. (pdf - 355 KB)This link will open in a new windowUpdated on May 7, 2021La vente à découvert activiste - Jos Schmitt

Northern Dynasty Minerals Ltd. (pdf - 483 KB)This link will open in a new windowUpdated on May 7, 2021La vente à découvert activiste

Novagold Resources Inc. (pdf - 277 KB)This link will open in a new windowUpdated on May 7, 2021La vente à découvert activiste - Gregory A. Lang

Peter Brown (pdf - 172 KB)This link will open in a new windowUpdated on May 5, 2021La vente à découvert activiste

Portfolio Management Association of Canada (pdf - 317 KB)This link will open in a new windowUpdated on May 7, 2021La vente à découvert activiste - Katie Walmsley and Margaret Gunawan

Prospectors & Developers Association of Canada (pdf - 527 KB)This link will open in a new windowUpdated on May 7, 2021La vente à découvert activiste - Lisa McDonald

RBC Capital Markets (pdf - 120 KB)This link will open in a new windowUpdated on May 7, 2021La vente à découvert activiste - Derek Flood

Saving Canadian Mining (pdf - 404 KB)This link will open in a new windowUpdated on May 7, 2021La vente à découvert activiste - Terry Lynch

Standard Uranium (pdf - 155 KB)This link will open in a new windowUpdated on May 7, 2021La vente à découvert activiste - Laurie Thomas

Stikeman Elliott LLP (pdf - 151 KB)This link will open in a new windowUpdated on May 7, 2021La vente à découvert activiste - Jeffrey M. Singer and Ramandeep K. Grewal

TMX Group Limited (pdf - 207 KB)This link will open in a new windowUpdated on May 7, 2021La vente à découvert activiste - Rizwan Awan

• Regulatory Notice (pdf - 38 KB)This link will open in a new windowUpdated on December 10, 2020Trailing-commission.
• Regulation to amend Regulation 41-101 respecting General Prospectus Requirements (pdf - 31 KB)This link will open in a new windowUpdated on December 10, 2020Commission de suivi.

• Regulatory Notice : Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and concordant regulations (pdf - 23 KB)This link will open in a new windowUpdated on September 16, 2020Regulatory Notice relating to consultation of Regulation to amend Regulation 45-106.
• CSA Notice of Consultation: Amendments Relating to the Offering Memorandum Prospectus Exemption (pdf - 77 KB)This link will open in a new windowUpdated on September 16, 2020CSA Notice of Consultation relating to the Offering Memorandum Prospectus Exemption.
• Regulation to amend Regulation 45-106 respecting Prospectus Exemptions (pdf - 260 KB)This link will open in a new windowUpdated on September 16, 2020Draft Regulation to amend Regulation 45-106 in consultation until December 16, 2020
• Amendments to Policy Statement to Regulation 45-106 respecting Prospectus Exemptions (pdf - 53 KB)This link will open in a new windowUpdated on September 16, 2020Draft Amendments to Policy Statement to Regulation 45-106 in consultation until December 16, 2020.

Comments received (comments are published in their original language)

• Canadian Advocacy Council of CFA Societies Canada (pdf - 228 KB)This link will open in a new windowUpdated on March 16, 2021Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and concordant regulations - Amendments Relating to the Offering Memorandum Prospectus Exemption (James Burron)
• Canadian Association of Alternative Strategies & Assets (pdf - 210 KB)This link will open in a new windowUpdated on March 16, 2021Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and concordant regulations - Amendments Relating to the Offering Memorandum Prospectus Exemption
• Equiton Partners Inc. (pdf - 486 KB)This link will open in a new windowUpdated on March 16, 2021Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and concordant regulations - Amendments Relating to the Offering Memorandum Prospectus Exemption (Jason Roque)
• FrontFundr Financial Services Inc. (pdf - 220 KB)This link will open in a new windowUpdated on March 16, 2021Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and concordant regulations - Amendments Relating to the Offering Memorandum Prospectus Exemption
• Investment Industry Association of Canada (pdf - 242 KB)This link will open in a new windowUpdated on March 16, 2021Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and concordant regulations - Amendments Relating to the Offering Memorandum Prospectus Exemption (Susan Copland)
• Norton Rose Fulbright Canada LLP (pdf - 82 KB)This link will open in a new windowUpdated on March 16, 2021Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and concordant regulations - Amendments Relating to the Offering Memorandum Prospectus Exemption
• Larry Wilkins (pdf - 92 KB)This link will open in a new windowUpdated on March 16, 2021Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and concordant regulations - Amendments Relating to the Offering Memorandum Prospectus Exemption
• Private Capital Markets Association of Canada (pdf - 585 KB)This link will open in a new windowUpdated on March 16, 2021Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and concordant regulations - Amendments Relating to the Offering Memorandum Prospectus Exemption (Brian Koscak, Dean Koeller and Nadine Milne)
• Skyline Group of Companies (pdf - 687 KB)This link will open in a new windowUpdated on March 16, 2021Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and concordant regulations - Amendments Relating to the Offering Memorandum Prospectus Exemption (Wayne Byrd)
• Steve Cohen Law Professional Corporation (pdf - 379 KB)This link will open in a new windowUpdated on March 16, 2021Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and concordant regulations - Amendments Relating to the Offering Memorandum Prospectus Exemption
• Three Point Capital Corp. (pdf - 100 KB)This link will open in a new windowUpdated on March 16, 2021Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and concordant regulations - Amendments Relating to the Offering Memorandum Prospectus Exemption (Marylyn Needham)
• Veronica Armstrong Law Corporation (pdf - 202 KB)This link will open in a new windowUpdated on March 16, 2021Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and concordant regulations - Amendments Relating to the Offering Memorandum Prospectus Exemption
• Wanda Morris (pdf - 113 KB)This link will open in a new windowUpdated on March 16, 2021Regulation to amend Regulation 45-106 respecting Prospectus Exemptions and concordant regulations - Amendments Relating to the Offering Memorandum Prospectus Exemption

• CSA Consultation Paper 25-402 (pdf - 327 KB)This link will open in a new windowUpdated on June 25, 2020Consultation on the Self-Regulatory Organization Framework

Comments received (comments are published in their original language)

• Bev Kennedy (pdf - 101 KB)This link will open in a new windowUpdated on October 21, 2020Document de consultation 25-402 des ACVM : Consultation sur le cadre réglementaire des organismes d’autoréglementation
• Board of Directors of the Canadian Investment Protection Fund (pdf - 160 KB)This link will open in a new windowUpdated on October 21, 2020Document de consultation 25-402 des ACVM : Consultation sur le cadre réglementaire des organismes d’autoréglementation - Rozanne Resnel
• Independant Trading Group (pdf - 255 KB)This link will open in a new windowUpdated on October 21, 2020Document de consultation 25-402 des ACVM : Consultation sur le cadre réglementaire des organismes d’autoréglementation - Nick Savona
• Investia Finance (pdf - 73 KB)This link will open in a new windowUpdated on July 14, 2020Lettre de commentaires - Jean-François G. Labbé
• Investor Advisory Panel (pdf - 258 KB)This link will open in a new windowUpdated on October 21, 2020Document de consultation 25-402 des ACVM : Consultation sur le cadre réglementaire des organismes d’autoréglementation - Neil Gross
• Kenmar Associates (pdf - 2 MB)This link will open in a new windowUpdated on October 21, 2020consultation 25-402 des ACVM : Consultation sur le cadre réglementaire des organismes d’autoréglementation - K. Kivenko
• Ontario District Counsil (pdf - 253 KB)This link will open in a new windowUpdated on October 21, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Vanessa Gardiner
• Peter Whitehouse (pdf - 489 KB)This link will open in a new windowUpdated on September 29, 2020Comment letter 25-402 consultation
  Peter Whitehouse (pdf - 106 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation
• Philip Maguire (pdf - 142 KB)This link will open in a new windowUpdated on July 30, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation
• Registered Deposit Brokers Association (pdf - 539 KB)This link will open in a new windowUpdated on October 21, 2020consultation 25-402 des ACVM : Consultation sur le cadre réglementaire des organismes d’autoréglementation - Brian J. Evans
• Kenmar Associates (pdf - 2 MB)This link will open in a new windowUpdated on October 21, 2020consultation 25-402 des ACVM : Consultation sur le cadre réglementaire des organismes d’autoréglementation - K. Kivenko
• Investor Advisory Panel (pdf - 258 KB)This link will open in a new windowUpdated on October 21, 2020Document de consultation 25-402 des ACVM : Consultation sur le cadre réglementaire des organismes d’autoréglementation - Neil Gross
• Groupe Planifax Inc. (pdf - 84 KB)This link will open in a new windowUpdated on October 23, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Daniel Bissonnette
• Sunlife Financial Investment Services (Canada) Inc. (pdf - 141 KB)This link will open in a new windowUpdated on October 23, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Karen Woodman
• Mérici Services Financiers Inc. (pdf - 235 KB)This link will open in a new windowUpdated on October 23, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Maxime Gauthier
• Conseil de section du Québec de l’OCRCVM (pdf - 268 KB)This link will open in a new windowUpdated on October 26, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Julie Gallagher
• Investment Industry Regulatory Organization of Canada (IIROC) (pdf - 321 KB)This link will open in a new windowUpdated on October 26, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation
• Portfolio Strategies Corporation (pdf - 318 KB)This link will open in a new windowUpdated on October 26, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Mark S. Kent
• Canadian Foundation for Advancement of Investors Rights (pdf - 813 KB)This link will open in a new windowUpdated on October 26, 2020Document de consultation 25-402 des ACVM - Jean-Paul Bureaud et Douglas Walker
• Investment Industry Association of Canada (pdf - 691 KB)This link will open in a new windowUpdated on October 26, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Ian C W Russell et Adrian Walrath
• Canadian Exchange Traded Fund Association (pdf - 181 KB)This link will open in a new windowUpdated on October 26, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Pat Dunwoody
• Manulife (pdf - 169 KB)This link will open in a new windowUpdated on October 26, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Rick Annaert
• Groupe de recherche en droit des services financiers (pdf - 676 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Raymonde Crête et Cinthia Duclos
• The Investment Funds Institute of Canada (pdf - 298 KB)This link will open in a new windowUpdated on October 26, 2020: Consultation sur le cadre réglementaire des organismes d’autoréglementation - Paul C. Bourque
• ATB Securities Inc./ ATB Capital Markets Inc (pdf - 129 KB)This link will open in a new windowUpdated on October 26, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Ursula Holmsten et Jon Horsman
• Investor Protection Clinic, University of Toronto, Faculty of Law (pdf - 288 KB)This link will open in a new windowUpdated on October 27, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Project SRO Working Group
• National Advisory Committee (pdf - 135 KB)This link will open in a new windowUpdated on October 27, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Christopher J. Enright
• TD Bank Group (pdf - 168 KB)This link will open in a new windowUpdated on October 27, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Leo Salom et Kerry Peacock
• Association professionnelle des conseillers en services financiers (pdf - 156 KB)This link will open in a new windowUpdated on October 27, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Flavio Vani
• Horizons ETFs Canada (pdf - 129 KB)This link will open in a new windowUpdated on October 27, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Steve Hawkins
• Portfolio Management Association of Canada (pdf - 321 KB)This link will open in a new windowUpdated on October 27, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Katie Walmsley et Margaret Gunawan
• The Financial Advisors Association of Canada (pdf - 323 KB)This link will open in a new windowUpdated on October 27, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Greg Pollock et Abe Toews
• Groupe Cloutier Investissements (pdf - 638 KB)This link will open in a new windowUpdated on October 27, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation- François Bruneau
• FP Canada (pdf - 325 KB)This link will open in a new windowUpdated on October 27, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation
• Leedee Jones Gable (pdf - 93 KB)This link will open in a new windowUpdated on October 27, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Jim Dale
• CI Assante Wealth Management (pdf - 152 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Sean Etherington
• Citadel Securities Canada ULC (pdf - 304 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Mark Wilkinson et David Archer
• Desjardins (pdf - 160 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Bernard Brun
• Mutual Fund Dealers Association (pdf - 217 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Mark T. Gordon
• TMX Group Limited (pdf - 78 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Deanna Dobrowsky
• Alternative Investment Management Canada (pdf - 242 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Claire Van Wyk-Allan et al.
• PFSF Investments Canada Ltd (pdf - 173 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - John Adams
• IA Financial Group (pdf - 183 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation
• Learnedly (pdf - 250 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - John Waldron
• Independent Financial Brokers of Canada (pdf - 282 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Nancy Allan
• Réjean Ayotte (pdf - 2 MB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation
• Aviso Wealth Inc. (pdf - 286 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - William Packman et al.
• Stephane Bergeron (pdf - 240 KB)This link will open in a new windowUpdated on October 28, 2020
• Michael Angiletta (pdf - 158 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation
• Michel Madore (pdf - 280 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation
• Groupe Financier Multi Courtage Inc. (pdf - 3 MB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation- Guy Duhaime
• Fidelity Clearing Canada ULC (pdf - 218 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Paige Wadden
• Peak Financial Group (pdf - 218 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Robert Frances
• Michel Fugère (pdf - 81 KB)This link will open in a new windowUpdated on October 28, 2020
• Federation of Mutual Fund Dealers (pdf - 250 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Matthew Latimer
• Serge Paquette (pdf - 948 KB)This link will open in a new windowUpdated on October 28, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation
• Réal Charest (pdf - 122 KB)This link will open in a new windowUpdated on October 28, 2020
• The Canadian Advocacy Council of CFA Societies Canada (pdf - 246 KB)This link will open in a new windowUpdated on October 29, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation
• CTI Capital Group (pdf - 142 KB)This link will open in a new windowUpdated on November 3, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Viet Buu
• Alan Blanes (pdf - 1 MB)This link will open in a new windowUpdated on November 4, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation
• GF Securities (Canada) Company Limited (pdf - 95 KB)This link will open in a new windowUpdated on November 4, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation
• Investor Protection Clinic at Osgoode Hall Law School (pdf - 239 KB)This link will open in a new windowUpdated on November 4, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Poonam Puri et Brigitte Catellier
• Paradigm Capital Inc. (pdf - 46 KB)This link will open in a new windowUpdated on November 4, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation
• Royal Roads University (pdf - 1 MB)This link will open in a new windowUpdated on November 4, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Mark Lokanan et al.
• Wellington-Altus Private Wealth Inc. (pdf - 360 KB)This link will open in a new windowUpdated on November 4, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Charles Spiring
• Worldsource Financial Management Inc. (pdf - 673 KB)This link will open in a new windowUpdated on November 4, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation - Natasa Morfesis et al.
• Suzanne Spencer (pdf - 3 MB)This link will open in a new windowUpdated on November 9, 2020Consultation sur le cadre réglementaire des organismes d’autoréglementation

• Regulatory Notice (pdf - 31 KB)This link will open in a new windowUpdated on August 6, 2020Notice of Consultation for a local rule relating to qualified syndicated mortgages.
• Regulation respecting the distribution of qualified syndicated mortgages (pdf - 19 KB)This link will open in a new windowUpdated on August 6, 2020Consultation on Regulation respecting the distribution of qualified syndicated mortgages. 

Comments received (comments are published in their original language)

• The Canadian Advocacy Council of CFA Societies Canada (pdf - 192 KB)This link will open in a new windowUpdated on October 5, 2020
• First National Financial LP (J. Robert St. Pierre) (pdf - 129 KB)This link will open in a new windowUpdated on October 14, 2020

In view of the current situation related to COVID-19, the deadline for submitting comments for this consultation, which was originally June 3, 2020, has been postponed until July 20, 2020.

• Regulatory Notice (pdf - 27 KB)This link will open in a new windowUpdated on March 5, 2020Amendments to Enhance Protection of Older and Vulnerable Clients.
• CSA Notice of consultation (pdf - 130 KB)This link will open in a new windowUpdated on March 5, 2020Amendments to Enhance Protection of Older and Vulnerable Clients.
• Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 29 KB)This link will open in a new windowUpdated on March 5, 2020Amendments to Enhance Protection of Older and Vulnerable Clients.
• Amendments to Policy Statement to Regulation 31-103 (pdf - 58 KB)This link will open in a new windowUpdated on March 5, 2020Amendments to Enhance Protection of Older and Vulnerable Clients.

Comments received (comments are published in their original language)

Advocis, The Financial Advisors Association of Canada (pdf - 272 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Association of Canadian Compliance Professionals (pdf - 235 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Canadian Advocacy Council of CFA Societies Canada (pdf - 246 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Canadian Foundation for Advancement of Investor Rights (pdf - 296 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients (FAIR Canada)

CARP (pdf - 302 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Chaire de recherche Antoine-Turmel sur protection juridique des personnes aînées (pdf - 714 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients (Université Laval)

Chaire en gouvernance et droit des affaires (pdf - 361 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients(Université de Montréal) - Me Stéphane Rousseau

Edward Jones (pdf - 90 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Federation of Mutual Fund Dealers (pdf - 825 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

IG Wealth Management (pdf - 167 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Independent Financial Brokers of Canada (pdf - 287 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Investment Funds Institute of Canada (IFIC) (pdf - 323 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Investor Advisory Panel (pdf - 147 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Investment Industry Association of Canada (pdf - 899 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients (IIAC)

Jakab Law and Compliance and Veronica Armstrong Law Corporation (pdf - 2 MB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Kenmar Associates (Ken Kivenko) (pdf - 491 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Lawyers in BLG’s Investment Management Practice Group and Disputes Grou (pdf - 255 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clientsp - Jason Brooks, Rebecca Cowdery, Lynn McGrade, Laura Paglia, and Michael Taylor

Leede Jones Gable Inc. (pdf - 325 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Linda Clunie (pdf - 2 MB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Manulife Securities (pdf - 170 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

MBC Law Professional Corporation (pdf - 486 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

MICA Capital Inc. (pdf - 474 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Mouvement Desjardins (pdf - 272 KB)This link will open in a new windowUpdated on July 17, 2020

Portfolio Management Association of Canada (pdf - 175 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients (PMAC)

Portfolio Strategies Corporation (pdf - 242 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Quadrus Investment Services Limtied (pdf - 157 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

Sun Life Financial Investment Services (Canada) Inc. (pdf - 71 KB)This link will open in a new windowUpdated on September 8, 2020Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Amendments to Enhance Protection of Older and Vulnerable Clients

In view of the current situation related to COVID-19, the deadline for submitting comments for this consultation, which was originally May 27, 2020, has been postponed until July 13, 2020.

• Regulatory Notice (pdf - 21 KB)This link will open in a new windowUpdated on February 27, 2020Regulatory Notice about the consultation of Regulation 45-110.
• Notice of consultation (pdf - 598 KB)This link will open in a new windowUpdated on February 27, 2020Notice of consultation for Regulation 45-110 and concordant regulations.
• Regulation 45-110 (pdf - 336 KB)This link will open in a new windowUpdated on February 27, 2020Draft Regulation about Start-up Crowdfunding Registration and Prospectus Exemptions.
• Regulation to amend Regulation 13-101 respecting the System for Electronic Document Analysis and Retrieval (SEDAR) (pdf - 15 KB)This link will open in a new windowUpdated on February 27, 2020Consequential amendments relating to Regulation 45-110 respecting Start-up Crowdfunding Registration and Prospectus Exemptions.
• Regulation to amend Regulation 45-102 respecting Resale of Securities (pdf - 12 KB)This link will open in a new windowUpdated on February 27, 2020Consequential amendments relating to Regulation 45-110 respecting Start-up Crowdfunding Registration and Prospectus Exemptions.  

Comments received (comments are published in their original language)

• James S. Hershaw (pdf - 238 KB)This link will open in a new windowUpdated on June 3, 2020Draft Regulation 45-110 respecting Start-up Crowdfunding Registration and Prospectus Exemptions
• National Crowdfunding and Fintech Association (pdf - 177 KB)This link will open in a new windowUpdated on June 3, 2020Draft Regulation 45-110 respecting Start-up Crowdfunding Registration and Prospectus Exemptions - Craig Asano on behalf of NCFA
• Vested Technology Corp. (pdf - 158 KB)This link will open in a new windowUpdated on June 3, 2020Draft Regulation 45-110 respecting Start-up Crowdfunding Registration and Prospectus Exemptions - David Patterson and David Brook
• FrontFundr (pdf - 267 KB)This link will open in a new windowUpdated on June 25, 2020Projet de Règlement 45-110 sur les dispenses de prospectus et d’inscription pour financement participatif des entreprises en démarrage - Silver Maple Ventures Inc.
• BCCOOP (pdf - 258 KB)This link will open in a new windowUpdated on June 25, 2020Projet de Règlement 45-110 sur les dispenses de prospectus et d’inscription pour financement participatif des entreprises en démarrage - Ben Hyman