Investors
Other Submissions
The Investor Advisory Panel (IAP) is an independent body charged with representing the views of investors. The following submissions have been made by the IAP regarding initiatives and issues related to self-regulatory organizations as well as the Ombudsman for Banking Services and Investments and other bodies related to the capital markets.
These submissions represent the views of the IAP.
2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012
2020
2019
2018
| September 14, 2018 |
Response to Request for Comments on Proposed Amendments to the Standards of Professional Responsibility - Conflicts of Interest |
| August 20, 2018 |
IAP Letter re CSA Staff Notice 81-330 Status Report on Consultation on Embedded Commissions and Next Steps |
| June 14, 2018 |
IAP Response to Request for Comment on Proposed MFDA Sanction Guidelines |
| June 13, 2018 |
IAP Comments on Proposed Amendments to MFDA Rules 1.2 (Definitions), 1.2.6 (Continuing Education), and MFDA Policy No. 9 - Continuing Education (CE) Requirements |
| June 13, 2018 |
IAP Response to MFDA Discussion Paper on Expanding Cost Reporting |
| June 7, 2018 |
IAP Response to CSA Staff Notice 61-303 and Request for Comment - Soliciting Dealer Arrangements |
| May 8, 2018 |
IAP Comments on CSA Staff Notice 31-353 - OBSI Joint Regulators Committee Annual Report for 2017 |
| April 26, 2018 |
Response to IIROC’s Request for Comment re: Enforcement Alternative Forms of Disciplinary Action |
| April 23, 2018 |
IAP Comments on 2017 OBSI Annual Report |
| April 16, 2018 |
IAP Response to Regulation of Financial Planners – Consultation Paper |
2017
2016
2015
2014
2013
2012
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