Submissions to the OSC

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Submissions to the OSC

The Investor Advisory Panel (IAP) is an independent body charged with representing the views of investors and providing input into the OSC's policy initiatives, including proposed rules and policies, the annual Statement of Priorities, concept papers, as well as OSC related issues. The following is a list of the IAP's submissions in this regard.

These submissions represent the views of the IAP.

2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010

2020

October 6, 2020	I AP Comments on CSA Staff Notice 31-358 Guidance on Registration Requirements for Chief Compliance Officers
July 9, 2020	IAP Comments on the Proposed amendments to National Instrument 31-103 to enhance protection of older and vulnerable investors
June 1, 2020	IAP Comments on OSC Priorities 2020-2021
May 26, 2020	IAP Comments on the Revised Version of Proposed National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure
May 7, 2020	IAP Notice: OSC’s Investor Advisory Panel Releases 2019 Annual Report
April 24, 2020	IAP Comments on Alternatives to DSC Ban
February 24, 2020	IAP Response to CSA Consultation Paper 51-405 - Access Equals Delivery

2019

May 27, 2019	IAP Comments on OSC Draft Statement of Priorities for 2019-2020
May 14, 2019	IAP Notice: OSC’s Investor Advisory Panel Releases 2018 Annual Report
February 28, 2019	IAP Comments on OSC Staff Notice 11-784 - Burden Reduction
February 19, 2019	IAP Letter on Reciprocal Enforcement of Bans and Suspensions
February 14, 2019	IAP Letter on Issuer Continuous Disclosure

2018

November 30, 2018	IAP Comments on Proposed Amendments to NI 81-105 Mutual Fund Sales Practices and Related Consequential Amendments
November 20, 2018	IAP Comments on Proposed NI 52-112 Non-GAAP and Other Financial Measures Disclosure
October 16, 2018	IAP Comments on Client Focused Reforms: Proposed Amendments to NI 31-103 and Companion Policy NI 31-103CP
August 20, 2018	IAP Letter re CSA Staff Notice 81-330 Status Report on Consultation on Embedded Commissions and Next Steps
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 27, 2018	IAP Response to OSC Draft Statement of Priorities for 2018-2019
April 25, 2018	IAP Notice: OSC’s Investor Advisory Panel Releases 2017 Annual Report
April 18, 2018	IAP Response to OSC Staff Notice 11-779 Seniors Strategy

2017

December 27, 2017	Response to CSA Consultation Paper 52-404 Approach to Director and Audit Committee Member Independence
December 11, 2017	Report on Vulnerable Investors: Elder Abuse, Financial Exploitation, Undue Influence and Diminished Mental Capacity
November 13, 2017	Response to the OSC Annual Report 2017
August 22, 2017	Proposed National Instrument 93-101 Derivatives: Business Conduct
July 25, 2017	CSA Climate Change Disclosure Review Project
July 13, 2017	CSA Consultation Paper 51-404 - Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers
July 6, 2017	Proposed NI 91-102 Prohibition of Binary Options
May 31, 2017	CSA Consultation Paper 81-408 - Consultation on the Option of Discontinuing Embedded Commissions
May 23, 2017	Ontario Securities Commission Notice 11-777 – Statement of Priorities
April 12, 2017	2016 Annual Report of the Ontario Securities Commission’s Investor Advisory Panel
January 19, 2017	MFDA Oversight Review Report

2016

October 25, 2016	OSC’s 2016 Annual Report
September 30, 2016	CSA Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients
May 2, 2016	Ontario Securities Commission Notice 11-774 - Statement of Priorities
April 20, 2016	2015 Annual Report of the Ontario Securities Commission Investor Advisory Panel
February 19, 2016	CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts and ETF Facts

2015

December 21, 2015	Comments on Capital Markets Act: A Revised Consultation Draft
December 18, 2015	Response to Research Paper: A Dissection of Mutual Fund Fees, Flows, and Performance
December 10, 2015	Proposed OSC Policy 15-601 Whistleblower Program
November 3, 2015	Response to report on Mystery Shopping for Investment Advice
October 30, 2015	21-315 Next Steps in Regulation and Transparency of the Fixed Income Market
August 6, 2015	Mandating a Summary Disclosure Document for Exchange-Traded Mutual Funds and its Delivery
June 1, 2015	Ontario Securities Commission Notice 11-771 - Statement of Priorities
May 4, 2015	15-401 Proposed Framework for an OSC Whistleblower Program
March 3, 2015	2013-2014 Annual Report of the Ontario Securities Commission Investor Advisory Panel

2014

December 8, 2014	Letter to CSA CRM2 Committee regarding Client Relationship Model - Phase 2
November 11, 2014	Comments on the consultation draft Provincial Capital Markets Act (PCMA) and Capital Markets Stability Act (CMSA)
September 4, 2014	IAP letter to Howard Wetston regarding new funding to the Canadian Foundation for Advancement of Investor Rights (FAIR Canada)
June 18, 2014	Prospectus and Registration Exemptions - Amendments (Proposed Exemptions and Proposed Reports of Exempt Distribution in Ontario) (includes amendments to OSC Rule 45-501 Ontario Prospectus and Registration Exemptions and related consequential amendments)
June 1, 2014	Ontario Securities Commission Notice 11-769 - Statement of Priorities
April 30, 2014	81-101 Point of Sale Disclosure for Mutual Funds - Point of Sale Delivery of Fund Facts
March 21, 2014	Proposed Amendments to Form 58-101F1 Corporate Governance Disclosure of National Instrument 58-101 Disclosure of Corporate Governance Practices
March 7, 2014	81-324 Mutual Fund Risk Classification Methodology for Use in Fund Facts
February 11, 2014	IAP Letter to Eleanor Farrell Regarding Priorities

2013

December 18, 2013	2012-2013 Annual Report of the Ontario Securities Commission Investor Advisory Panel
June 3, 2013	Ontario Securities Commission Notice 11-768 – Statement of Priorities
April 12, 2013	81-407 Discussion Paper on Mutual Fund Fees
March 1, 2013	33-403 The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients
January 31, 2013	31-103 Requirement for the Ombudsman for Banking Services and Investments to Provide Dispute Resolution or Mediation Services

2012

November 20, 2012	2011-2012 Annual Report of the Investor Advisory Panel
September 14, 2012	31-103 Cost Disclosure and Performance Reporting
September 6, 2012	81-101 Point of Sale Disclosure for Mutual Funds
May 29, 2012	OSC Notice 11-766 Statement of Priorities for Financial Year to End March 31, 2013
February 29, 2012	45-401 Review of Minimum Amount and Accredited Investor Exemptions
January 16, 2012	15-704 Proposed Enforcement Initiatives

2011

November 10, 2011	81-101 Point of Sale Disclosure for Mutual Funds
October 28, 2011	Annual Report of the Investor Advisory Panel
October 27, 2011	51-103 Ongoing Governance and Disclosure Requirements For Venturessuers
September 23, 2011	31-103 Cost Disclosure and Performance Reporting
April 27, 2011	11-765 Statement of Priorities for Fiscal Year Ending March 31, 2012
April 18, 2011	54-701 Regulatory Developments Regarding Shareholder Democracy Issues
January 11, 2011	CP 91-401 Over the Counter Derivatives Regulation

2010

October 25, 2010

25-101 Designated Rating Organizations

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Submissions to the OSC

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2019

2018

2017

2016

2015

2014

2013

2012

2011

2010