• 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

In view of the current situation related to COVID-19, the deadline for submitting comments for this consultation, which was originally May 13, 2020, has been postponed until June 29, 2020.

• Regulatory Notice (pdf - 24 KB)This link will open in a new windowUpdated on February 13, 2020
• CSA Second Notice of Consultation (pdf - 181 KB)This link will open in a new windowUpdated on February 11, 2020
• Draft Regulation 52-112 (pdf - 48 KB)This link will open in a new windowUpdated on February 13, 2020
• Draft Policy Statement to Regulation 52-112 (pdf - 104 KB)This link will open in a new windowUpdated on February 13, 2020
• Draft Consequential Amendments
  • Regulation to amend Regulation 45-108 respecting Crowdfunding (pdf - 10 KB)This link will open in a new windowUpdated on February 13, 2020
  • Amendments to Policy Statement to Regulation 45-108 (pdf - 38 KB)This link will open in a new windowUpdated on February 13, 2020
  • Amendments to Policy Statement to Regulation 51-102 respecting Continuous Disclosure Obligations (pdf - 14 KB)This link will open in a new windowUpdated on February 13, 2020
  • Amendments to Policy Statement to Regulation 51-105 respecting Issuers Quoted in the U.S. Over-the-Counter Markets (pdf - 15 KB)This link will open in a new windowUpdated on February 13, 2020
  • Amendments to Policy Statement to Regulation 52-107 respecting Acceptable Accounting Principles and Auditing Standards (pdf - 15 KB)This link will open in a new windowUpdated on February 13, 2020 

• CSA Consultation Paper 51-405 (pdf - 131 KB)This link will open in a new windowUpdated on January 9, 2020CSA Consultation Paper 51-405 about consideration of an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers.

Comments received (comments are published in their original language)

Alistair Harrigan (pdf - 69 KB)This link will open in a new windowUpdated on February 28, 2020

Anthony Heller (pdf - 82 KB)This link will open in a new windowUpdated on February 28, 2020

Association des banquiers canadiens (pdf - 152 KB)This link will open in a new windowUpdated on March 11, 2020

Borden Ladner Gervais LLP (pdf - 185 KB)This link will open in a new windowUpdated on March 11, 2020

Broadridge Financial Solutions, Inc. (pdf - 1 MB)This link will open in a new windowUpdated on March 11, 2020

Canadian Coalition for Good Governance (pdf - 126 KB)This link will open in a new windowUpdated on March 9, 2020

Canadian Foundation for Advancement of Investor Rights (pdf - 146 KB)This link will open in a new windowUpdated on March 11, 2020

Canadian Investor Relations Institute (pdf - 159 KB)This link will open in a new windowUpdated on March 11, 2020

Canadian Natural Resources Limited (pdf - 287 KB)This link will open in a new windowUpdated on March 11, 2020

Cenovus Energy Inc. (pdf - 169 KB)This link will open in a new windowUpdated on March 11, 2020

CFA Societies Canada (pdf - 188 KB)This link will open in a new windowUpdated on February 28, 2020

Davies (pdf - 200 KB)This link will open in a new windowUpdated on March 9, 2020

Fasken Martineau DuMoulin LLP (pdf - 18 MB)This link will open in a new windowUpdated on March 9, 2020

Fidelity Investments Canada ULC (pdf - 187 KB)This link will open in a new windowUpdated on March 13, 2020

Great-West Lifeco Inc. (pdf - 166 KB)This link will open in a new windowUpdated on March 10, 2020

Investment Industry Association of Canada (pdf - 329 KB)This link will open in a new windowUpdated on March 9, 2020

Investor Advisory Panel (pdf - 166 KB)This link will open in a new windowUpdated on March 9, 2020

Ken Kivenko (pdf - 606 KB)This link will open in a new windowUpdated on February 28, 2020

L’Association du Barreau Candadien (pdf - 287 KB)This link will open in a new windowUpdated on March 11, 2020

L’institut des fonds d’investissement du Canada (pdf - 397 KB)This link will open in a new windowUpdated on March 11, 2020

Norton Rose Gulbright Canada LLP (pdf - 124 KB)This link will open in a new windowUpdated on March 10, 2020

Osler, Hoskin & Harcourt LLP (pdf - 293 KB)This link will open in a new windowUpdated on March 11, 2020

Portfolio Management Association of Canada (pdf - 133 KB)This link will open in a new windowUpdated on March 9, 2020

Québec Bourse (pdf - 93 KB)This link will open in a new windowUpdated on March 9, 2020

RBC Wealth Management (pdf - 120 KB)This link will open in a new windowUpdated on March 11, 2020

Securities Transfer Association of Canada (pdf - 135 KB)This link will open in a new windowUpdated on March 11, 2020

SkyLaw (pdf - 560 KB)This link will open in a new windowUpdated on March 9, 2020

TSX (pdf - 230 KB)This link will open in a new windowUpdated on March 11, 2020

• Regulatory Notice (pdf - 21 KB)This link will open in a new windowUpdated on October 2, 2019Canadian Public Accountability Board (CPAB)
• CSA Notice of Consultation (pdf - 75 KB)This link will open in a new windowUpdated on October 2, 2019Canadian Public Accountability Board (CPAB)
• Regulation to amend Regulation 52-108 (pdf - 28 KB)This link will open in a new windowUpdated on October 2, 2019Canadian Public Accountability Board (CPAB)
• Amendments to Policy Statement to Regulation 52-108 (pdf - 49 KB)This link will open in a new windowUpdated on October 2, 2019Canadian Public Accountability Board (CPAB)

• Regulatory Notice (pdf - 33 KB)This link will open in a new windowUpdated on September 11, 2019Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, stage 1
• CSA Notice of consultation (pdf - 277 KB)This link will open in a new windowUpdated on September 11, 2019Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1
• Workstream One (pdf - 254 KB)This link will open in a new windowUpdated on September 11, 2019Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, stage 1: Consolidate the Simplified Prospectus and the Annual Information Form
• Workstream two (pdf - 107 KB)This link will open in a new windowUpdated on September 11, 2019Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, stage 1: Investment Fund Designated Website
• Workstream three (pdf - 74 KB)This link will open in a new windowUpdated on September 11, 2019Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, stage 1: Codify Exemptive Relief Granted in Respect of Notice-and-Access Applications
• Workstream four (pdf - 27 KB)This link will open in a new windowUpdated on September 11, 2019Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, stage 1 : Minimize Filings of Personal Information Forms
• Workstream five (pdf - 102 KB)This link will open in a new windowUpdated on September 11, 2019Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, stage 1: Codify Exemptive Relief Granted in Respect of Conflicts Applications
• Workstream six (pdf - 19 KB)This link will open in a new windowUpdated on September 11, 2019Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, stage 1: Broaden Pre-Approval Criteria for Investment Fund Mergers
• Workstream seven (pdf - 24 KB)This link will open in a new windowUpdated on September 11, 2019Reducing Regulatory Burden for Investment Fund Issuers - Phase 2, stage 1: Repeal Regulatory Approval Requirements for Change of Manager, Change of Control of a Manager, and Change of Custodian that Occurs in Connection with a Change of Manager
• Workstream eight (pdf - 85 KB)This link will open in a new windowUpdated on September 11, 2019Reducing Regulatory Burden for Investment Fund Issuers - Phase 2, stage 1: Codify Exemptive Relief Granted in Respect of Fund Facts Delivery Applications
• Additionnal Amendments (pdf - 20 KB)This link will open in a new windowUpdated on September 11, 2019Reducing Regulatory Burden for Investment Fund Issuers - Phase 2, stage 1

Comments received (comments are published in their original language)

Advocis (Greg Pollock, Abe Toews) (pdf - 730 KB)This link will open in a new windowUpdated on January 6, 2020

AGF Investments Inc. (Mark Adams) (pdf - 113 KB)This link will open in a new windowUpdated on January 6, 2020

Allternative Investment Management Association Canada - AIMA Canada (pdf - 1 MB)This link will open in a new windowUpdated on January 6, 2020

BlackRock Asset Management Canada Limited (Margaret Gunawan) (pdf - 539 KB)This link will open in a new windowUpdated on January 6, 2020

Borden Ladner Gervais LLP – BLG (Rebecca Cowdery, Kathryn Fuller, Sarah Gardiner, Sienne Lau, Roma Lotay) (pdf - 99 KB)This link will open in a new windowUpdated on January 6, 2020

Broadridge (Patricia Rosch) (pdf - 346 KB)This link will open in a new windowUpdated on January 6, 2020CSA Notice and Request for Comment – Reducing Regulatory Burden for Investment Fund Issuers

Canadian Advocacy Council - CFA Societies Canada (pdf - 180 KB)This link will open in a new windowUpdated on January 6, 2020

Eric Adelson (pdf - 756 KB)This link will open in a new windowUpdated on January 6, 2020

Fasken (pdf - 516 KB)This link will open in a new windowUpdated on January 6, 2020

Fidelity Investment Canada ULC (Sian Burgess) (pdf - 312 KB)This link will open in a new windowUpdated on January 6, 2020

Franklin Templeton Investment Corporation (Brad Beuttenmiller) (pdf - 221 KB)This link will open in a new windowUpdated on January 6, 2020

IG Wealth Management – IGM financial Inc. (Rhonda Goldberg) (pdf - 459 KB)This link will open in a new windowUpdated on January 6, 2020IG Wealth Management – IGM financial Inc. (Rhonda Goldberg)

Invesco (Shalomi Abraham) (pdf - 102 KB)This link will open in a new windowUpdated on January 6, 2020

Investment Funds Institute of Canada (Minal Upadhyaya) (pdf - 604 KB)This link will open in a new windowUpdated on January 6, 2020

Mackenzie Financial Corporation – IGM Financial Inc. (Rhonda Goldberg) (pdf - 693 KB)This link will open in a new windowUpdated on January 6, 2020

Manulife (pdf - 54 KB)This link will open in a new windowUpdated on January 7, 2020 (Bernard Letendre, Rick Annaert)

Mouvement Desjardins (Éric Proulx) (pdf - 583 KB)This link will open in a new windowUpdated on January 6, 2020

National Bank Investments Inc. (Marie Brault) (pdf - 471 KB)This link will open in a new windowUpdated on January 6, 2020

Portfolio Management Association of Canada - PMAC (Margaret Gunawan, Katie Walmsley) (pdf - 283 KB)This link will open in a new windowUpdated on January 3, 2020

Stan Turner (pdf - 113 KB)This link will open in a new windowUpdated on January 6, 2020

TSX Trust (pdf - 66 KB)This link will open in a new windowUpdated on January 7, 2020 (Loui Anastasopoulos)

Vanguard Investments Canada Inc. (Kathleen C. Bock) (pdf - 4 MB)This link will open in a new windowUpdated on January 6, 2020