AMF public consultations are published primarily in French. Please visit the French version of this page to consult all available public consultations.
CSA Staff Notice and Request for Comment 23-323: Trading Fee Rebate Pilot Study
- CSA Staff Notice 11-340: Extension of Comment Period (pdf - 42 KB)This link will open in a new windowUpdated on 17 January 2019Extension of Comment Period
Comments received (comments are published in their original language)
AGF Investments Inc. (pdf - 60 KB)This link will open in a new window - John Christofilos
Blackrock Asset Management Canada (pdf - 186 KB)This link will open in a new window - Margaret Gunawan
Canadian Advocacy Council for Canadian (pdf - 246 KB)This link will open in a new window
Canadian Securatization (pdf - 594 KB)This link will open in a new window - Ian Bandeen
Canadian Securities Exchange (pdf - 2 MB)This link will open in a new window - Richard Carleton
Canadian Security Traders Association, Inc. (pdf - 262 KB)This link will open in a new window - CSTA Trading Issues Committee
CIBC World Markets Inc. (pdf - 48 KB)This link will open in a new window - Heather Killian
Citadel Securities (pdf - 278 KB)This link will open in a new window - Mark Wilkinson et David Archer
Fidelity Asset Management (pdf - 394 KB)This link will open in a new window - Fidae Abbas
Healthy Markets Transparency & Trus (pdf - 142 KB)This link will open in a new windowt - Tyler Gellasch
Invesco Canada Ltd (pdf - 448 KB)This link will open in a new window - Julianna Ahn
Investment industry association of Canada (pdf - 299 KB)This link will open in a new window - Susan Copland
Mackie Research Capital Corporation (pdf - 140 KB)This link will open in a new window - David Hetherington
Nasdaq Canada (pdf - 369 KB)This link will open in a new window
National Bank (pdf - 536 KB)This link will open in a new window - Etienne Dubuc et Martin Gagnon
Neo Exchange Inc. (pdf - 276 KB)This link will open in a new window - Cindy Petlock et Joacim Wiklander
Omega Securities Inc. (pdf - 173 KB)This link will open in a new window - Laurence Rose et Sean Debotte
OMERS (pdf - 4 MB)This link will open in a new window - Brant Robertson et Robert Gouley
Ontario Teachers Pension Plan (pdf - 283 KB)This link will open in a new window - Kevin Duggan et all
Scotia Bank (pdf - 110 KB)This link will open in a new window - Alex Perel
Select Vantage (pdf - 1 MB)This link will open in a new window - Daniel Schlaepfer et Mario Josipovic
TD Asset Management Inc. (pdf - 2 MB)This link will open in a new window - Bruce Cooper
TMX Group (pdf - 50 KB)This link will open in a new window - Deanna Dobrowsky
TMX Group Limited (pdf - 918 KB)This link will open in a new window - Kevin Sampson
Virtu ITG Canada Corp. (pdf - 79 KB)This link will open in a new window - Doug Clark
Draft Regulation to amend Regulation 24-102 respecting Clearing Agency Requirements
- Regulatory Notice (pdf - 21 KB)This link will open in a new windowUpdated on 18 October 2018
- CSA Notice of Consultation (pdf - 79 KB)This link will open in a new windowUpdated on 18 October 2018
- Regulation to amend Regulation 24-102 (pdf - 44 KB)This link will open in a new windowUpdated on 18 October 2018
- Amendments to Policy Statement to Regulation 24-102 (pdf - 146 KB)This link will open in a new windowUpdated on 18 October 2018
Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Custody-Related Amendments
- Regulatory Notice (pdf - 21 KB)This link will open in a new windowUpdated on 25 October 2018Custody
- CSA Notice of Consultation (pdf - 55 KB)This link will open in a new windowUpdated on 25 October 2018Custody
- Regulation to amend Regulation 31-103 (pdf - 18 KB)This link will open in a new windowUpdated on 25 October 2018Custody
Regulation to amend Regulation 81-105 respecting Mutual Fund Sales Practices and concordant regulations - Embedded commissions
- Regulatory Notice (pdf - 23 KB)This link will open in a new windowUpdated on 12 September 2018embedded commissions
- CSA Notice of consultation (pdf - 240 KB)This link will open in a new windowUpdated on 12 September 2018embedded commissions
- Regulation to amend Regulation 81-105 (pdf - 26 KB)This link will open in a new windowUpdated on 12 September 2018embedded commissions
- Amendments to Companion Policy 81-105: Mutual Fund Sales Practices (pdf - 22 KB)This link will open in a new windowUpdated on 12 September 2018embedded commissions
- Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 14 KB)This link will open in a new windowUpdated on 12 September 2018embedded commissions
- Regulation to amend Regulation 81-101 respecting Mutual Fund Prospectus Disclosure (pdf - 21 KB)This link will open in a new windowUpdated on 12 September 2018Embedded commissions
Comments received (comments are published in their original language)
Advocis (pdf - 1 MB)This link will open in a new windowUpdated on 14 December 2018 (Greg Pollock, Al Jones)
AGF Investments Inc. - AGF (pdf - 127 KB)This link will open in a new windowUpdated on 14 December 2018 (Mark Adams)
Alan Blanes (pdf - 312 KB)This link will open in a new windowUpdated on 23 November 2018
Alternative Investment Management Association Canada Inc. - AIMA (pdf - 669 KB)This link will open in a new windowUpdated on 17 December 2018 (A. Timothy Baron, Sarah Gardiner, Supriya Kapoor, Ian Pember, Donna Spagnolo, Jennifer Wood
Anonymous (pdf - 29 KB)This link will open in a new windowUpdated on 19 November 2018
Association Professionnelle des Conseillers en Services Financiers - APCSF (pdf - 547 KB)This link will open in a new windowUpdated on 5 December 2018 (Flavio Vani, Bertrand Larocque)
Art Ross (pdf - 44 KB)This link will open in a new windowUpdated on 23 November 2018
Borden Ladner Gervais LLP (pdf - 73 KB)This link will open in a new windowUpdated on 17 December 2018 (Whitney Bell, Jason Brooks, Rebecca Cowdery, David Di Paolo, Kathryn Fuller, John Hall, Lynn McGrade, Laura Paglia)
Bruce Loeppky (pdf - 13 KB)This link will open in a new windowUpdated on 23 November 2018
CARP (pdf - 418 KB)This link will open in a new windowUpdated on 17 December 2018 (Wanda Morris, Laura Tamblyn Watts)
Counsel Inc., RBC InvestEase Inc. and Phillips, Hager & North Investment Funds Ltd. - RBC (pdf - 4 MB)This link will open in a new windowUpdated on 14 December 2018 (Doug Guzman, Neil McLaughlin)
D. McFadden (pdf - 304 KB)This link will open in a new windowUpdated on 19 November 2018
David Fieldstone (pdf - 114 KB)This link will open in a new windowUpdated on 19 November 2018
Eric F. Gosselin (pdf - 2 MB)This link will open in a new windowUpdated on 14 December 2018
Eric Portelance (pdf - 14 KB)This link will open in a new windowUpdated on 20 December 2018
Federation of Mutual Fund Dealers (pdf - 207 KB)This link will open in a new windowUpdated on 14 December 2018 (Sandra L. Kegie)
Fidelity Investments Canada ULC - Fidelity (pdf - 333 KB)This link will open in a new windowUpdated on 14 December 2018 (Rob Strickland)
Finandicap inc. (pdf - 84 KB)This link will open in a new windowUpdated on 5 December 2018 (Guillaume Parent)
Franklin Templeton Investments Corp. - FTI (pdf - 169 KB)This link will open in a new windowUpdated on 14 December 2018 (Brad Beuttenmiller)
Gary Stenzler (pdf - 415 KB)This link will open in a new windowUpdated on 16 November 2018
Groupe Cloutier Investissements (François Bruneau)
Groupe financier PEAK (pdf - 156 KB)This link will open in a new windowUpdated on 17 December 2018 - (Robert Frances, Marc Doré)
Harvey Naglie (pdf - 177 KB)This link will open in a new windowUpdated on 19 November 2018
HighView Asset Management Ltd. - HAML (pdf - 742 KB)This link will open in a new windowUpdated on 14 December 2018 (Dan Hallett)
Independent Financial Brokers of Canada - IFB (pdf - 571 KB)This link will open in a new windowUpdated on 14 December 2018 (Nancy Allan)
Invesco Canada Ltd. (Shalomi Abraham)
The Investment Funds Institute of Canada - IFIC (pdf - 184 KB)This link will open in a new windowUpdated on 14 December 2018 (Paul C. Bourque)
Investment Industry Association of Canada - IIAC (pdf - 1 MB)This link will open in a new windowUpdated on 14 December 2018 (Michelle Alexander, Annie Sinigagliese)
Isaac Glick (pdf - 59 KB)This link will open in a new windowUpdated on 23 November 2018
James Richard MacDonald (pdf - 59 KB)This link will open in a new windowUpdated on 20 December 2018
James S. Durnin (pdf - 204 KB)This link will open in a new windowUpdated on 13 December 2018
Ken Kivenko (pdf - 468 KB)This link will open in a new windowUpdated on 19 November 2018
Kenmar Associates (pdf - 345 KB)This link will open in a new windowUpdated on 16 November 2018
Larry Elford (pdf - 30 KB)This link will open in a new windowUpdated on 23 November 2018
Mackenzie Financial Corporation - Mackenzie Investments (pdf - 282 KB)This link will open in a new windowUpdated on 14 December 2018(Barry S. McInerney)
Mary Boom (pdf - 75 KB)This link will open in a new windowUpdated on 23 November 2018
Mérici Services financiers inc. (pdf - 420 KB)This link will open in a new windowUpdated on 14 December 2018 - (Michel Boutin, Maxime Gauthier)
MICA Capital Inc. (pdf - 37 KB)This link will open in a new windowUpdated on 4 December 2018 (Gino Sebastian Savard)
Millie Jagdeo (pdf - 301 KB)This link will open in a new windowUpdated on 23 November 2018
Mouvement Desjardins (Yvan-Pierre Grimard)
National Bank Investments Inc. - NBI (pdf - 406 KB)This link will open in a new windowUpdated on 14 December 2018 (Martin Gagnon)
OSC Investor Advisory Panel (pdf - 199 KB)This link will open in a new windowUpdated on 4 December 2018 – (Neil Gross)
Peter Whitehouse (pdf - 366 KB)This link will open in a new windowUpdated on 19 November 2018
Portfolio Management Association of Canada - PMAC (pdf - 101 KB)This link will open in a new windowUpdated on 14 December 2018 (Katie Walmsley, Margaret Gunawan)
Portfolio Strategies Corporation - PSC (pdf - 134 KB)This link will open in a new windowUpdated on 14 December 2018 (Mark S. Kent)
Primerica Financial Services (pdf - 663 KB)This link will open in a new windowUpdated on 17 December 2018 (John A. Adams)
Ruth Elliott (pdf - 308 KB)This link will open in a new windowUpdated on 19 November 2018
Small Investor Protection Association – SIPA (pdf - 283 KB)This link will open in a new windowUpdated on 19 November 2018 (Stan I. Buell)
Steve Pozgaj (pdf - 342 KB)This link will open in a new windowUpdated on 20 December 2018
TD Wealth (pdf - 1 MB)This link will open in a new windowUpdated on 14 December 2018 (Leo Salom)
Tom Dusmet (pdf - 620 KB)This link will open in a new windowUpdated on 19 December 2018
Yegal Rosen (pdf - 17 KB)This link will open in a new windowUpdated on 20 December 2018
W. Keir Clark (pdf - 313 KB)This link will open in a new windowUpdated on 26 November 2018
Regulation 52-112 respecting Non-GAAP and Other Financial Measures Disclosure and concordant regulations
- Regulatory Notice (pdf - 60 KB)This link will open in a new windowUpdated on 6 September 2018
- CSA Notice of consultation (pdf - 188 KB)This link will open in a new windowUpdated on 6 September 2018"CSA, Notice of consultation, Draft, Regulation, 52-112, non-GAAP, Other Financial Measures, Disclosure, Policy Statement, Regulation 52-112, Other Financial Measures Disclosure, Related, Consequential Amendments, Changes"
- Regulation 52-112 (pdf - 38 KB)This link will open in a new windowUpdated on 6 September 2018
- Policy Statement to Regulation 52-112 (pdf - 102 KB)This link will open in a new windowUpdated on 6 September 2018"Draft, Policy Statement, Regulation, 52-112, Non-GAAP, other Financial Measures Disclosure"
- Regulation to amend Regulation 45-108 respecting Crowdfunding (pdf - 14 KB)This link will open in a new windowUpdated on 6 September 2018"draft, regulation, amend, regulation 45-108, crowdfunding, concordant, 52-112"
- Amendments to Policy Statement to Regulation 45-108 (pdf - 36 KB)This link will open in a new windowUpdated on 6 September 2018"draft, amendments, policy statement, regulation, 45-108, crowdfunding, concordant, 52-112"
- Amendments to Policy Statement to Regulation 51-102 respecting Continuous Disclosure Obligations (pdf - 14 KB)This link will open in a new windowUpdated on 6 September 2018"draft, amendments,Policy Statement, Regulation, 51-102, Continuous Disclosure Obligations, concordant, 52-112
- Amendments to Policy Statement to Regulation 51-105 sur les émetteurs cotés sur les marchés de gré à gré américains (pdf - 14 KB)This link will open in a new windowUpdated on 6 September 2018"draft, amendments,Policy Statement, regulation, 51-105, Issuers Quoted in the U.S, Over-the-Counter Markets, concordant, 52-112"
- Amendments to Policy Statement to Regulation 52-107 sur les principes comptables et normes d’audit acceptables (pdf - 14 KB)This link will open in a new windowUpdated on 6 September 2018"draft, amendments, Policy Statement, Regulation, 52-107, Acceptable Accounting Principles, Auditing Standards, concordant, 52-112"
Comments received (comments are published in their original language)
Association des banquiers canadiens
Bennett Jones (pdf - 2 MB)This link will open in a new windowUpdated on 18 December 2018
Cassels Brock Lawyers (pdf - 197 KB)This link will open in a new windowUpdated on 10 January 2019
Cenovus Energy (pdf - 349 KB)This link will open in a new windowUpdated on 18 December 2018
Comptable professionnels agréés Canada
Deloitte LLP (pdf - 169 KB)This link will open in a new windowUpdated on 18 December 2018
Ernst & Young LLP (pdf - 412 KB)This link will open in a new windowUpdated on 18 December 2018
Freehold Royalties LTD. (pdf - 222 KB)This link will open in a new windowUpdated on 18 December 2018
Goodmans LLP (pdf - 283 KB)This link will open in a new windowUpdated on 18 December 2018
Great-West Lifeco inc. (pdf - 486 KB)This link will open in a new windowUpdated on 18 December 2018
InPlay Oil Corp. (pdf - 54 KB)This link will open in a new windowUpdated on 18 December 2018
Institut des Fonds d’Investissement du Canada
Inter Pipeline Ltd. (pdf - 2 MB)This link will open in a new windowUpdated on 18 December 2018
Investor Advisory Panel (pdf - 191 KB)This link will open in a new windowUpdated on 27 November 2018
Keyara Corp. (pdf - 4 MB)This link will open in a new windowUpdated on 18 December 2018
KPMG (pdf - 93 KB)This link will open in a new windowUpdated on 10 December 2018
Lynessa Dias (pdf - 2 MB)This link will open in a new windowUpdated on 18 December 2018
Norton Rose Fulbright (pdf - 165 KB)This link will open in a new windowUpdated on 18 December 2018
Ontario Power Generation (pdf - 64 KB)This link will open in a new windowUpdated on 18 December 2018
Québec Bourse Inc. (pdf - 2 MB)This link will open in a new windowUpdated on 18 December 2018
Seven Genrations Energy (pdf - 3 MB)This link will open in a new windowUpdated on 18 December 2018
Stikeman Elliott (pdf - 212 KB)This link will open in a new windowUpdated on 10 December 2018
Suncor Energy Inc. (pdf - 100 KB)This link will open in a new windowUpdated on 18 December 2018
Torys LLP (pdf - 507 KB)This link will open in a new windowUpdated on 18 December 2018
Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Client Focused Reforms
- Regulatory Notice (pdf - 22 KB)This link will open in a new windowUpdated on 21 June 2018
- CSA Notice of consultation (pdf - 189 KB)This link will open in a new windowUpdated on 21 June 2018Client Focused Reforms
- Regulation to amend Regulation 31-103 (pdf - 68 KB)This link will open in a new windowUpdated on 20 June 2018Client Focused Reformsb
- Policy Statement to Regulation 31-103 (pdf - 922 KB)This link will open in a new windowUpdated on 20 June 2018Client Focused Reforms (blacklined version)
Comments received (comments are published in their original language)
Advocis (pdf - 1 MB)This link will open in a new windowUpdated on 22 October 2018Comment received from Al Jones and G. Pollock (Advocis, The Financial Advisors Association of Canada) on October 19, 2018 in regards to Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
AGF Investments Inc. (pdf - 145 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Mark Adams (AGF Investments Inc.) of October 18, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Alternative Investment Management Association (pdf - 417 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Darin Renton, Supriya Kapoor, Ian Pember, Jason Chertin, Ron Kosonic, Sarah Gardiner, Norbert Knutel and Alex Bruvels (Alternative Investment Management Association) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Antares Investment Management (pdf - 222 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Gerry Bettig (Antares Investment Management, Inc.) on October 18, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Art Ross (pdf - 776 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Art Ross of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Assante Wealth Management (pdf - 185 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Sean Etherington (Assante Wealth Management Ltd.) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Association canadienne des courtiers en REÉÉ (pdf - 794 KB)This link will open in a new windowUpdated on 22 October 2018Comment received from Paul Renaud (RESP Dealers Association of Canada and Children’s Education Funds Inc.) on October 19, 2018 in regards to Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Association canadienne du commerce des valeurs mobilières (pdf - 1 MB)This link will open in a new windowUpdated on 24 October 2018Comment received from Investment Industry Association of Canada of October 18, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Association des banquiers canadiens (pdf - 112 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from The Canadian Bankers Association of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Association of Canadian Compliance Professionals (pdf - 3 MB)This link will open in a new windowUpdated on 18 October 2018Comment received from Manny DaSilva and Gary Legault (Canadian Association of Canadian Compliance Professionals) on October 17, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
AvisoWealth (pdf - 91 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Bill Packham (Aviso Wealth Inc.) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
BCV Asset Management Inc. (pdf - 240 KB)This link will open in a new windowUpdated on 22 October 2018Comment received from Tony Demarin and Dale Hawthorn (BCV Asset Management Inc.) on October 19, 2018 in regards to Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Belay Wealth (pdf - 202 KB)This link will open in a new windowUpdated on 25 October 2018Comment received from Shannon Sabey (Belay Wealth Inc.) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Bentley Beck (pdf - 249 KB)This link will open in a new windowUpdated on 7 November 2018
Blackburn Davis Financial Inc. (pdf - 94 KB)This link will open in a new windowUpdated on 16 October 2018Comment received by John Davis (Blackburn Davis Financial Inc.) Letter of October 15, 2018 RE; RE:Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
BlackRock (pdf - 659 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Margaret Gunawan (BlackRock Asset Management Canada Limited) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
BMO Financial Group (pdf - 277 KB)This link will open in a new windowUpdated on 25 October 2018Comment received from Cheryl Galpin, Joan Mohammed and Alexandra Dousmanis-Curtis (BMO Financial Group ) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Borden Ladner Gervais (pdf - 158 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Borden Ladner Gervais LLP on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Brent Wolverton (pdf - 128 KB)This link will open in a new windowUpdated on 17 September 2018Comment received from Brent Wolverton Letter on September 14, 2018: RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Brugger Wealth Management (pdf - 72 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Kevin Brugger (Brugger Wealth Management) of October 11, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Butler Financial (pdf - 548 KB)This link will open in a new windowUpdated on 18 October 2018Comment received from Dale Butler (Butler Financial) on October 16, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Canadian Foundation for Advancement of Investor Rights (pdf - 468 KB)This link will open in a new windowUpdated on 22 October 2018Comment recieved from Canadian Foundation for Advancement of Investor Rights of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Canadian Imperial Bank of Commerce (pdf - 2 MB)This link will open in a new windowUpdated on 23 October 2018Comment received from Peter Moulson (Canadian Imperial Bank of Commerce) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Canadian Independant Asset Management (pdf - 93 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Canadian Independent Asset Management on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Canadian Independant Life Brokerake Agencies (pdf - 136 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Earleen Moulton and Eric Wachtel (Board of Directors of the Canadian Association of Independent Life Brokerage Agencies) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Canadian scholarship Plan (pdf - 432 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Carole Matear (C.S.T. Consultants Inc.) of October 18, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Canadian Securities Institute (pdf - 76 KB)This link will open in a new windowUpdated on 18 October 2018Comment received from Marc Flynn (The Canadian Securities Institute) on October 17, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Capital International Asset Management (pdf - 199 KB)This link will open in a new windowUpdated on 23 October 2018Comment recieved from Mark Tiffin (Capital International Asset Management) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Cardinal Capital Management (pdf - 524 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Evan Mancer (Cardinal Capital Management, Inc.) on October 18, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
CARP - Canadian Association of Retired Persons (pdf - 199 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Wanda Morris and Laura Tamblyn-Watts (CARP) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Chad Viminitz (pdf - 89 KB)This link will open in a new windowUpdated on 15 October 2018Comment received from Chad Viminitz on October 11, 2018: RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Chester R. Brothers (pdf - 112 KB)This link will open in a new windowUpdated on 18 October 2018Comment received from Chester R. Brothers on October 17, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Children’s Education Funds Inc. (pdf - 258 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Allison Haid Caughey (Children’s Education Funds Inc) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
CI Investments Inc. (pdf - 7 MB)This link will open in a new windowUpdated on 23 October 2018Comment received from Sheila A. Murray (CI Investments) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Coalition des associations de consommateurs du Québec (pdf - 330 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Rébecca Bleau et J. St-Amant (Coalition des associations de consommateurs) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Conseil des fonds d’investissement du Québec (pdf - 56 KB)This link will open in a new windowUpdated on 25 October 2018Comment received from Stéphanie Blanchette (Conseil des fonds d’investissment du Québec) of October 18, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Cumberland Private Wealth (pdf - 252 KB)This link will open in a new windowUpdated on 23 October 2018Comment recieved from Charles R. Sims (Cumberland Private Wealth Management Ltd.) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Dale & Sandra Reid (pdf - 17 KB)This link will open in a new windowUpdated on 18 October 2018Comment received from Dale and Sandra Reid on October 16, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
David C.C. Lister (pdf - 230 KB)This link will open in a new windowUpdated on 26 October 2018Comment received from David C. C. Lister on October 12, 2018: RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
David W. Martin (pdf - 57 KB)This link will open in a new windowUpdated on 23 October 2018Comment recieved from David W. Martin of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Derek Moran - Institute of Advanced Financial Planners (pdf - 593 KB)This link will open in a new windowUpdated on 15 October 2018Comment received from Melanie D. Twietmeyer and Jeff Wachman (The Institute of Advanced Financial Planners) on October 11, 2018: RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Dixon Mitchell Investment Counsel Inc. (pdf - 158 KB)This link will open in a new windowUpdated on 15 October 2018Comment received from Rob Mitchell (Dixon Mitchell Investment Counsel Inc.) Letter of October 12, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP -
Doherty & Associates (pdf - 132 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Ian Sterling (Doherty & Associates Ltd.) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Edward Jones (pdf - 1 MB)This link will open in a new windowUpdated on 24 October 2018Comment received from Wayne Bolton (Edward Jones) of October 18, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Farm Business Consultants (pdf - 19 KB)This link will open in a new windowUpdated on 6 July 2018Comment received from Ken Rousselle (Farm Business Consultants and FBC Financial & Estate Planning Services Inc.) on July 4, 2018: RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Federation of Mutual Fund Dealers (pdf - 244 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Sandra L. Kegie (The Federation of Mutual Fund Dealers) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Fidelity Investments (pdf - 115 KB)This link will open in a new windowUpdated on 25 October 2018Comment received from Rob Strickland (Fidelity Investments Canada ULC) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Fiducia Wealth Mangement (pdf - 708 KB)This link will open in a new windowUpdated on 17 September 2018Comment received from Jamie Robb (Fiducia Wealth Management) on September 12, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Foster Agency (pdf - 24 KB)This link will open in a new windowUpdated on 15 October 2018Comment received from Bruce Foster (Foster Agency) Letter of October 13, 2018: RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP -
Franklin Templeton Investments (pdf - 395 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Brad Beuttenmiller (Franklin Templeton Investments Corp.) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Gestion Universitas (pdf - 704 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Noémie C. Girard (Universitas Management Inc.) of October 18, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Groupe Cloutier Investissements (pdf - 479 KB)This link will open in a new windowUpdated on 25 October 2018Comment received from François Bruneau (Groupe Cloutier Investissements Inc.) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Guardian Capital Group Limited (pdf - 604 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Matthew D. Turner (Guardian Capital Group Limited) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
High Street Asset Management (pdf - 671 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Michael Hodgson (Highstreet Asset Management Inc.) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Hub Capital Inc. (pdf - 177 KB)This link will open in a new windowUpdated on 25 October 2018Comment received from Cheryl Hamilton (HUB Capital Inc.) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Huxton Black (pdf - 133 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Matthew Gibson (Huxton Black) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
ICI Global (pdf - 1 MB)This link will open in a new windowUpdated on 22 October 2018Comment recieved from Paul Schott Stevens (ICI Global) of October 18, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Independant Accountants Investment Counsel Inc. (pdf - 276 KB)This link will open in a new windowUpdated on 18 October 2018Comment received from Steve Doty (Independent Accountants' Investment Counsel) on October 16, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Independant Financial Brokers of Canada (pdf - 543 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Nancy Allan (Independent Financial Brokers of Canada) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Industrielle Alliance (pdf - 184 KB)This link will open in a new windowUpdated on 30 October 2018Comment received from Carl Mustos (iA Financial Group) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Institut des fonds d’investissement du Canada (pdf - 436 KB)This link will open in a new windowUpdated on 22 October 2018Comment received from Paul C. Bourque (IFIC) on October 19, 2018 in regards to Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Invesco Canada Ltd. (pdf - 1 MB)This link will open in a new windowUpdated on 24 October 2018Comment received from Eric Adelson (Invesco Canada Ltd.) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Investment Company Institute (pdf - 1 MB)This link will open in a new windowUpdated on 22 October 2018Comment recieved from Paul Schott Stevens (ICI Global) of October 18, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Investment Planning Counsel (pdf - 567 KB)This link will open in a new windowUpdated on 22 October 2018Comment received from Reginald Alvares (Investment Planning Counsel Inc.) on October 19, 2018 in regards to Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Investor Advisory Panel (pdf - 652 KB)This link will open in a new windowUpdated on 17 October 2018Comment received by Investor Advisory Panel Letter of October 16, 2018 RE; RE:Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Investors Group (pdf - 716 KB)This link will open in a new windowUpdated on 22 October 2018Comment received from Jeffrey R. Carney (Investors Group Inc.) on October 19, 2018 in regards to Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
IRONSHIELD Financial Planning Inc. and CANI Financial Planning Syndicate Inc. (pdf - 176 KB)This link will open in a new windowUpdated on 18 October 2018Comment received from Scott Plaskett (IRONSHIELD Financial Planning Inc. and CANi Financial Planning Syndicate Inc.) on October 16, 2018: RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
James Doer (pdf - 22 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from James Doer of October 20, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Jamie Graham - Insight Wealth and Peak Investment Services Inc. (pdf - 581 KB)This link will open in a new windowUpdated on 16 October 2018Comment received by Jamie Graham (Insight Wealth and Peak Investment Services Inc.) Letter of October 16, 2018 RE; RE:Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Jason Pereira (pdf - 132 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Jason Pereira of October 18, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Jeff Schreiter (pdf - 28 KB)This link will open in a new windowUpdated on 16 October 2018Comment received by Jeff Schreiter Letter of October 15, 2018 RE; RE:Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Keith Muchan (pdf - 2 MB)This link will open in a new windowUpdated on 24 October 2018Comment received from Keith Muchan of October 18, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Kelley Doerksen (pdf - 93 KB)This link will open in a new windowUpdated on 15 October 2018Comment received from Kelley Doerksen Letter of October 15, 2018: RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP -
Kendall Bingeman and Deborah Bingeman (pdf - 3 MB)This link will open in a new windowUpdated on 16 October 2018Comment received by Deborah Bingeman Letter of October 15, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Kenmar Associates (pdf - 1 MB)This link will open in a new windowUpdated on 4 July 2018Comment received from Ken Kivenko (Kenmar Associates) on July 3, 2018: RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP -
Kindsted Wealth (pdf - 594 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Collin Gordon (Kinsted Wealth) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Knowledge First Financial Inc. (pdf - 1 MB)This link will open in a new windowUpdated on 22 October 2018Comment received from Darrell Bartlett (Knowledge First Financial) on October 18, 2018 in regards to Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Leede Jones Gable (pdf - 143 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Jason Jardine (Leede Jones Gable Inc.) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Link Plan Management (pdf - 237 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Link Plan Management Inc. on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Logan Wealth Management (pdf - 287 KB)This link will open in a new windowUpdated on 28 September 2018Comment recieved from Timothy Logan (Logan Wealth Management) Letter of September 20, 2018 ; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Logiq Asset Management Ltd. (pdf - 128 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Steven Mantle (LOGiQ Asset Management Ltd.) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
M3 Securities (pdf - 193 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from John A. W. Kearley (M3 Securities) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
MacKenzie Investments (pdf - 747 KB)This link will open in a new windowUpdated on 7 November 2018
MacNicol & Associates (pdf - 127 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from David A. MacNicol (MacNicol & Associates Asset Management Inc.) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Manulife (pdf - 121 KB)This link will open in a new windowUpdated on 23 October 2018Comment recieved from Bernard Letendre and Rick Annaert (Manulife) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Matt Churchill (pdf - 69 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Matt Churchill (Sheffar Potter Muchan Inc.) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
McDougall Gauley LLP (pdf - 385 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Chad M. Haaf (MacDougall Gauley LLP) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Melanie D. Twietmeyer and Jeff Wachman - Institute of Advanced Financial Planners (pdf - 593 KB)This link will open in a new windowUpdated on 15 October 2018Comment received from Melanie D. Twietmeyer and Jeff Wachman (The Institute of Advanced Financial Planners) on October 11, 2018: RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Mica Capital Inc.
(pdf - 70 KB)This link will open in a new windowUpdated on 25 October 2018Comment received from Gino Sebastian Savard (MICA Capital Inc.) of October 18, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CPMichael G. Sheffar (pdf - 81 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Michael G. Sheffar (Sheffar Potter Muchan) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Mouvement Desjardins (pdf - 5 MB)This link will open in a new windowUpdated on 25 October 2018Comment received from Yvan-Pierre Grimard (Le Mouvement Desjardins) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
National Bank of Canada (pdf - 397 KB)This link will open in a new windowUpdated on 25 October 2018Comment received from Martin Gagnon (National Bank of Canada) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
National Society of Compliance Professionals (pdf - 253 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Lisa D. Crossley (The National Society of Compliance Professionals) on October 18, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Nest Wealth Management (pdf - 415 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Randy Cass and Alejandro Cuartas-Villada (Nest Wealth Management Inc.) of October 18, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Nicola Wealth Management (pdf - 7 MB)This link will open in a new windowUpdated on 24 October 2018Comment received from Dannielle H. MacDonald (Nicola Wealth Management Ltd.) of October 18, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Osler, Hoskin & Harcourt LLP (pdf - 189 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Osler, Hoskin & Harcourt LLP of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Pacific Spirit Investment Management Inc. (pdf - 110 KB)This link will open in a new windowUpdated on 22 October 2018Comment received from John S. Clark (Pacific Spirit Investment Management Inc.) on October 18, 2018 in regards to Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Peak (pdf - 397 KB)This link will open in a new windowUpdated on 29 October 2018Comment received from Robert Frances and Marc Doré (PEAK Financial Group) on October 19, 2018: RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Portag3 Ventures, GP Inc. (pdf - 40 KB)This link will open in a new windowUpdated on 18 October 2018Comment received from Adam Felesky (Portag3 Ventures) on October 16, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Portfolio Management Association of Canada (pdf - 355 KB)This link will open in a new windowUpdated on 26 October 2018Comment received from Katie Walmsley and Margaret Gunawan (The Portfolio Management Association of Canada) on October 19, 2018: RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Portfolio Strategies Corporation (pdf - 167 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Mark S. Kent (Portfolio Strategies Corporation) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Premier Financial Planning Services Inc. (pdf - 119 KB)This link will open in a new windowUpdated on 16 October 2018Comment received by Jacquie Skinner Letter of October 16, 2018 RE; RE:Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Primerica (pdf - 704 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from John A. Adams (Primerica Financial Services (Canada) Ltd.) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Private Capital Markets Association of Canada (pdf - 820 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from David Gilkes, Brian Koscak, Nadine Milne, Doug Bedard and Georgina Blanas (Private Capital Markets Association of Canada) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Provisus Wealth Management (pdf - 56 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Chris Ambridge (Provisus Wealth Management) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Questrade (pdf - 290 KB)This link will open in a new windowUpdated on 25 October 2018Comment received from Lawrence J. Horowitz (Questrade, Inc.) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
RBC Wealth Management & Insurance (pdf - 236 KB)This link will open in a new windowUpdated on 22 October 2018Comment received from Doug Guzman and N. McLaughlin (RBC Dominion Securities Inc., RBC Direct Investing Inc., Royal Mutual Funds Inc., RBC Global Asset Management Inc., RBC Phillips, Hager & North Investment Counsel Inc., RBC InvestEase Inc. and Phillips, Hager & North Investment Funds Ltd.) on October 19, 2018 in regards to Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Responsible Investment Association (pdf - 1 MB)This link will open in a new windowUpdated on 24 October 2018Comment received from Dustyn Lanz (Responsible Investment Association) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Scotia Bank, Wealth Management (pdf - 197 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Alex Besharat (Scotia) of October 22, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Smarter (pdf - 264 KB)This link will open in a new windowUpdated on 15 October 2018Comment received from Derek Moran (The Institute of Advanced Financial Planners) Letter of October 12, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP -
Sonny Goldstein (pdf - 500 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Sonny Goldstein (Goldstein Financial Investments Inc.) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Sterling Mutuals Inc. (pdf - 228 KB)This link will open in a new windowUpdated on 23 October 2018Comment recieved from Michael Stanley (Sterling Mutuals Inc.) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Stikeman Elliott (pdf - 157 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Edward J. Waitzer, Darin R. Renton and John C.P. Henderson (Stikeman Elliott LLP) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Sun Life Financial (pdf - 3 MB)This link will open in a new windowUpdated on 24 October 2018Comment received from Jacques Goulet (Sun Life Financial Canada) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Tacita Capital (pdf - 2 MB)This link will open in a new windowUpdated on 23 October 2018Comment received from Michael Nairne (Tacita Capital Inc.) on October 18, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
TD Wealth Management and Insurance (pdf - 15 MB)This link will open in a new windowUpdated on 18 October 2018Comment received from Leo Salom (TD Wealth) on October 18, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
TenSquared Investment Inc. (pdf - 18 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Norman Raschkowan of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
The Canadian Advocacy Council for Canadian CFA Institute Societies (pdf - 442 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from The Canadian Advocacy Council for Canadian CFA Institute Societies of October 17, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Tim Faught (pdf - 106 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Tim Faught on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Timothy B. Potter (pdf - 1 MB)This link will open in a new windowUpdated on 24 October 2018Comment received from Timothy B. Potter of October 18, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Todd Johnson (pdf - 483 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Todd Johnson on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
TPC Financial Group (pdf - 112 KB)This link will open in a new windowUpdated on 18 October 2018Comment received from Timothy Paziuk (TPC Financial Group Ltd.) on October 15, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Tradex Management Inc. (pdf - 224 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Blair Cooper (Tradex Management Inc.) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Triview Capital Ltd. (pdf - 510 KB)This link will open in a new windowUpdated on 23 October 2018Comment recieved from Jessica Mitchell (Tri View Capital Ltd.) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
University of Toronto (pdf - 63 KB)This link will open in a new windowUpdated on 23 October 2018Comment received from Anita Anand (University of Toronto) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Veronica Armstrong Law Corporation (pdf - 236 KB)This link will open in a new windowUpdated on 22 October 2018Comment received from Veronica Armstrong (Veronica Armstrong Law Corporation) on October 19, 2018 in regards to Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Wealth Advance Investments (pdf - 315 KB)This link will open in a new windowUpdated on 18 October 2018Comment received from Susanne Hopfner and Donna Wildeboer (Wealth Advance Investments) on October 17, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
WealthBar (pdf - 403 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Neville Joanes (WealthBar Financial Services Inc.) on October 19, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Wealthsimple (pdf - 183 KB)This link will open in a new windowUpdated on 24 October 2018Comment received from Michael Holder (Wealthsimple Inc.) of October 19, 2018; RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Wendy and Joseph Templeman (pdf - 83 KB)This link will open in a new windowUpdated on 16 October 2018Comment received by Wendy and Joseph Templeman Letter of October 12, 2018 RE; RE:Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
William J. Henderson (pdf - 26 KB)This link will open in a new windowUpdated on 15 October 2018Comment received from William J. Henderson on October 11, 2018: RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Worldsource Wealth Management Inc. (pdf - 253 KB)This link will open in a new windowUpdated on 18 October 2018Comment received from Richard Rizi (Worldsource Wealth Management Inc.) on October 17, 2018 RE: Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Draft Regulation to amend the Securities Regulation
Regulation to amend Regulation 21-101 respecting Marketplace Operation
- Regulatory Notice (pdf - 21 KB)This link will open in a new windowUpdated on 23 May 2018Regulatory Notice
- CSA Staff Notice and Request for Comment 21-323 (pdf - 184 KB)This link will open in a new windowUpdated on 23 May 2018"CSA Staff Notice, Request for Comment, 21-323, Proposal, Mandatory Post-Trade Transparency, Trades in Government Debt Securities, Expanded Transparency, Trades,Corporate Debt Securities, Draft, Regulation to amend, Regulation, 21-101, Marketplace Operation, Draft, Amendments, Policy Statement, Regulation 21-101, Marketplace Operation"
- Regulation to amend Regulation 21-101 (pdf - 27 KB)This link will open in a new windowUpdated on 23 May 2018"draft, regulation, amend, 21-101, marketplace operation"
- Amendements to Policy Statement to Regulation 21-101 (pdf - 42 KB)This link will open in a new windowUpdated on 23 May 2018"draft, amendments, policy statement, regulation, 21-101, marketplace operation"
CSA Staff Notice 61-303 and Request for Comment: Soliciting Dealer Arrangements (pdf - 71 KB)This link will open in a new windowUpdated on 11 April 2018Soliciting Dealer Arrangements
Addenda Capital Inc. (pdf - 307 KB)This link will open in a new windowUpdated on 3 July 2018 (Brian Minns)
Canadian Coalition for Good Governance (pdf - 332 KB)This link will open in a new windowUpdated on 29 June 2018 (Julie Cays)
Investment Industry Association of Canada - IIAC (pdf - 791 KB)This link will open in a new windowUpdated on 29 June 2018 (Adrian Walrath)
Kingsdale Advisors (pdf - 2 MB)This link will open in a new windowUpdated on 29 June 2018 (Wes Hall and Amy Freedman)
PSP Investments (PDF - 128 KB)This link will open in a new windowUpdated on 29 June 2018 (Stéphanie Lachance)
Shareholder Association for Research and Education - SHARE (pdf - 172 KB)This link will open in a new windowUpdated on 29 June 2018 (Kevin Thomas)