Securities Law & Instruments

  Section Menu

Parent Page

Comments Received for The Standard of Conduct for Advisors and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advise is Provided to Retail Clients (comments closed February 22, 2013)
Date Comment Letters
March 14, 2013 Diane Urquhart
March 5, 2013 David L. Lane (Edward Jones)
March 1, 2013 La Chambre de la Sécurité Financière
March 1, 2013 Investor Advisory Panel
February 23, 2013 Barbra Curvin
February 22, 2013 Howard J. Atkinson (Canadian Exchange-Traded Fund Association)
February 22, 2013 Barbara Mason & Michael Durland (The Bank of Nova Scotia)
February 22, 2013 Murray J. Taylor (Investors Groups Inc.)
February 22, 2013 Ermanno Pascutto (Canadian Foundation for Advancement of Investor Rights)
February 22, 2013 Michelle Alexander & Adrian Walrath (Investment Industry Association of Canada)
February 22, 2013 Michael Stanley (Quadrus Investment Services Ltd.)
February 22, 2013 Laura Paglia (Torys LLP)
February 22, 2013 Sandra L. Kegie (Association of Canadian Compliance Professionals)
February 22, 2013 Marc Flynn (Canadian Securities Institute)
February 22, 2013 Andrew Marsh (Richardson GMP Limited)
February 22, 2013 John J. De Goey (Burgeonvest Bick Securities Limited)
February 22, 2013 Paul Allison (Raymond James Ltd.)
February 22, 2013 John Whaley (Independent Financial Brokers of Canada)
February 22, 2013 Peter Lewis & James Deeks (RESP Dealers Association of Canada)
February 22, 2013 Keith Costello (The Canadian Institute of Financial Planners)
February 22, 2013 Craig Skauge & Cora Pettipas (National Exempt Market Association)
February 22, 2013 Yvan-Pierre Grimard (Mouvement des caisses Desjardins)
February 22, 2013 Veronica Gamracy (CIBC Wood Gundy, Saskatoon) & Jim Grundy (RBC Dominion Securities Inc., Regina)
February 22, 2013 Stéphane Langlois (Conseil des Fonds D’Investissement du Québec)
February 22, 2013 Dan Hallett
February 22, 2013 Darcy Lake (BMO Investments Inc., BMO InvestorLine Inc., BMO Nesbitt Burns Inc., BMO Harris InvestmentManagement Inc., and BMO Asset Management Inc.)
February 22, 2013 Charles R. Sims (MacKenzie Financial Corporation)
February 22, 2013 Marsha Gerhart (Exempt Market Dealers Association of Canada)
February 22, 2013 Jean Lespérance
February 22, 2013 Leo Salom & Tom Dyck (TD Bank Group)
February 22, 2013 John A. Adams (PFSL Investments Canada Ltd.)
February 22, 2013 Mark McKenna (Walton Capital Management Inc.)
February 22, 2013 Katie Walmsley & Scott Mahaffy (Portfolio Management Association of Canada)
February 22, 2013 Rebecca A. Cowderry, Marsha Gerhart & David Di Paolo (Borden Ladner Gervais LLP)
February 22, 2013 Mark Adams (AGF Investments Inc.)
February 22, 2013 Eric Adelson (Invesco Canada Ltd.)
February 22, 2013 Sandra L. Kegie (Federation of Mutual Fund Dealers)
February 22, 2013 Larry Macklem
February 22, 2013 Gillian Dingle (CIBC)
February 22, 2013 Joanne De Laurentis (The Investment Funds Institute of Canada)
February 22, 2013 John Novachis (Investment Planning Council Inc.)
February 22, 2013 Adam Felesky (Horizons ETFs Management (Canada) Inc.)
February 22, 2013 George Lewis & David McKay (RBC Dominion Securities Inc.; Royal Mutual Funds Inc.; RBC Global Asset Management Inc.; RBC Phillips, Hager & North Investment Counsel Inc.; and Phillips, Hager & North Investment Funds Ltd.)
February 22, 2013 W. Sian Burgess (Fidelity Investments Canada ULC)
February 21, 2013 Ada Litvinov (Canadian Advocacy Council)
February 21, 2013 Saskatchewan District Council
February 21, 2013 Byron F. Bowman (fi360, Inc.)
February 20, 2013 Greg Pollock & Harley Lockhart (Advocis)
February 19, 2013 Debra McFadden
February 19, 2013 Andrew Teasdale
February 19, 2013 Daniel A. Braniff
February 18, 2013 André BOURRET (Scotia Capitaux inc.), François LAVALLÉE (Financière Banque Nationale inc.), Paul BALTHAZARD (RBC Dominion Valeurs mobilières inc.), Brenda BARTLETT (PWL Capital inc.), Jean-François BERNIER ...
February 18, 2013 Jason Heath (Objective Financial Partners Inc.)
February 18, 2013 James E. Graham
February 18, 2013 Gail Bebee
February 14, 2013 Alan A. Fustey (Index Wealth Management Inc.)
February 13, 2013 Ken Kivenko (Kenmar Associates)
February 12, 2013 Stan Buell (Small Investor Protection Association)
February 6, 2013 S. R. Gage
February 5, 2013 Peter Benedek
February 1, 2013 CARP
February 1, 2013 Financial Planning Standards Council
January 21, 2013 C. W. King
January 7, 2013 Cindy Nagassar
January 4, 2013 Larry Elford
January 1, 2013 John Prescott
December 30, 2012 Dan Zwicker
December 27, 2012 David W. Stanley
December 9, 2012 Jim Rogers
November 30, 2012 Gordon Hinch
November 29, 2012 Michael Vertin
November 20, 2012 Richard Taylor
November 5, 2012 J Douglas Grant
November 1, 2012 Donald A. Young