CSA Staff Notice and Request for Comment 23-323: Trading Fee Rebate Pilot Study (pdf - 381 KB)This link will open in a new windowUpdated on 17 December 2018

• 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

• 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

• 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

• 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

Alberta-based DIY Investor (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

Canadian Advocacy Council for Canadian CFA Institute Societies – CAC (pdf - 219 KB)This link will open in a new windowUpdated on 11 December 2018

Canadian Foundation for Advancement of Investor Rights - FAIR Canada (pdf - 416 KB)This link will open in a new windowUpdated on 14 December 2018 (Frank Allen)

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)

Financial Planning Standards Council - FPSC (pdf - 211 KB)This link will open in a new windowUpdated on 17 December 2018

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)

RBC Dominion Securities Inc., RBC Direct investing Inc., Royal Mutual Funds Inc., RBC Global Asset Management Inc., RBC Phillips, Hager & North Investment (pdf - 4 MB)This link will open in a new windowUpdated on 14 December 2018

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

• 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

Auditing and Assurance Standards Board (pdf - 508 KB)This link will open in a new windowUpdated on 27 November 2018

Bennett Jones (pdf - 2 MB)This link will open in a new windowUpdated on 18 December 2018

Blakes, Cassels & Graydon LLP (pdf - 111 KB)This link will open in a new windowUpdated on 18 December 2018

Brtish Columbia Investment (pdf - 1 MB)This link will open in a new windowUpdated on 18 December 2018

Brunet, Duckworth & Palmer LLP (pdf - 133 KB)This link will open in a new windowUpdated on 18 December 2018

Canadian Accounting Standards Board (pdf - 158 KB)This link will open in a new windowUpdated on 18 December 2018

Canadian Advocacy Council  (pdf - 226 KB)This link will open in a new windowUpdated on 18 December 2018

Canadian Coalition for Good Governance (pdf - 318 KB)This link will open in a new windowUpdated on 18 December 2018

Canadian Natural Resources Limited (pdf - 395 KB)This link will open in a new windowUpdated on 18 December 2018

Canadian Public Accountablility Board (pdf - 131 KB)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

Davies Ward Phillips & Vineberg LLP (pdf - 55 KB)This link will open in a new windowUpdated on 18 December 2018

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

Financial Executives International Canada (pdf - 504 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

Institute of Corporate Directors (pdf - 506 KB)This link will open in a new windowUpdated on 18 December 2018

Intact Financial corporation (pdf - 440 KB)This link will open in a new windowUpdated on 18 December 2018

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

Manulife Finanical Corporation (pdf - 257 KB)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

Pembina Pipeline Corporation (pdf - 342 KB)This link will open in a new windowUpdated on 10 December 2018

PricewaterhouseCoopers LLP (pdf - 238 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

Real Property Association of Canada (pdf - 537 KB)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

Veritas Investment Research (pdf - 1 MB)This link will open in a new windowUpdated on 18 December 2018

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 Compliance & Regulatory Law (pdf - 297 KB)This link will open in a new windowUpdated on 24 October 2018

• 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

• Integral Wealth Securities Limited (pdf - 253 KB)This link will open in a new windowUpdated on 7 November 2018

• 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

• Mérici Services Financiers Inc. (pdf - 300 KB)This link will open in a new windowUpdated on 19 October 2018

• 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 31-103CP

• Michael 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

• Regulatory Notice and Request for comment (pdf - 25 KB)This link will open in a new windowUpdated on 2 August 2018Sharing of commissions
• Regulation to amend the Securities Regulation (pdf - 41 KB)This link will open in a new windowUpdated on 2 August 2018Sharing of commisisons

• 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"

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)

Canadian Foundation for Advancement of Investor Rights - FAIR(pdf - 242 KB)This link will open in a new windowUpdated on 29 June 2018

Davies ward phillips & Vineberg LLP(pdf - 251 KB)This link will open in a new windowUpdated on 29 June 2018

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)

The Canadian Advocacy Council for Canadian CFA Institute Societies (pdf - 188 KB)This link will open in a new windowUpdated on 29 June 2018