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Comment Letters for Notice and Request for Comment: Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and to Companion Policy 31-103CP
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3 - Registration Requirements and Related Matters
31-103
Notice and Request for Comment: Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and to Companion Policy 31-103CP
Comment Letters for Notice and Request for Comment: Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and to Companion Policy 31-103CP
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Comments Received (comment period due September 23, 2011 )
Date
Comment Letters
September 27, 2011
Title
W. Sian Burgess (Fidelity Investments Canada ULC)
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September 26, 2011
Title
Paul Robinson (First Canadian Property Investments Ltd.)
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September 23, 2011
Title
Howard J. Atkinson (Horizon Exchange Traded Funds Inc.)
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September 23, 2011
Title
Paul A. Brisson (Highstreet Asset Management Inc.)
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September 23, 2011
Title
John A. Adams (Primerica Financial Services (Canada) Ltd.)
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September 23, 2011
Title
John Whaley (Independent Financial Brokers)
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September 23, 2011
Title
Barbara Mason (Scotiabank Group)
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September 23, 2011
Title
Sandra Cimoroni (TD Asset Management Inc.)
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September 23, 2011
Title
Carol Dagher (CIBC) eMail
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September 23, 2011
Title
Darcy M. Lake (BMO Nesbitt Burns Inc.; BMO InvestorLine Inc; and, BMO Harris Investment Management Inc.)
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September 23, 2011
Title
Mark Tiffin (Capital International Asset Management (Canada) Inc.)
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September 23, 2011
Title
John Novachis (Investment Planning Counsel Inc.)
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September 23, 2011
Title
Charles R. Sims (Mackenzie Investments)
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September 23, 2011
Title
Manuel DaSilva (Canfin Magellan Investments Inc.)
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September 23, 2011
Title
Stephane Langlois (LBC Financial Services)
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September 23, 2011
Title
Sandra L. Kegie (Association of Canadian Compliance Professionals)
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September 23, 2011
Title
Duncan W. Boggs (Global Securities Corporation)
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September 23, 2011
Title
Nathalie Clarke (Canadian Bankers Association)
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September 23, 2011
Title
Rebecca A. Cowdery and Marsha Gerhart (Borden Ladner Gervais LLP)
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September 23, 2011
Title
Ermanno Pascutto (Canadian Foundation for Advancement of Investor Rights)
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September 23, 2011
Title
Ian Moorhouse (Independent Accountants' Investment Group Inc.)
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September 23, 2011
Title
Yvan-Pierre Grimard (Desjardins Group)
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September 23, 2011
Title
Rick Annaert (Manulife Securities Incorporated)
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September 23, 2011
Title
David Agnew, Doug Coulter and Wayne Bossert (RBC Dominion Securites Inc.; RBC Direct Investing Inc.; Royal Mutual Funds Inc.; RBC Global Asset Management Inc.; RBC Phillips, Hager & North Investment Counsel Inc.; Phillips, Hager & North Investment ...
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September 23, 2011
Title
Peter Lewis and James Deeks (RESP Dealers Association of Canada)
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September 23, 2011
Title
Oliver Murray (Brandes Investment Partners & Co.)
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September 23, 2011
Title
Darcy M. Lake (BMO Investments Inc.)
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September 23, 2011
Title
Tom Bradley (Steadyhand Investment Funds Inc.)
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September 23, 2011
Title
Howard J. Atkinson (Canadian ETF Association)
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September 23, 2011
Title
George Aguiar (GP Wealth Management Corporation)
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September 23, 2011
Title
Eric J. Adelson (Invesco Canada Ltd.)
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September 23, 2011
Title
Sandra L. Kegie (Federation of Mutual Fund Dealers)
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September 23, 2011
Title
Moira Simo and Bruno Carchidi (DWM Securities Inc; Dundee Private Investors Inc.; and, Goodman & Company, Investment Counsel Ltd.)
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September 23, 2011
Title
Alan Johnson (Investment Strategies Inc.) eMail
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September 23, 2011
Title
Martin Guest and Rick Annaert (Manulife Asset Management Limited; and Manulife Securities Investment Services Inc.)
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September 23, 2011
Title
James Ho (Quantum Financial Service (Canada) Ltd.)
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September 23, 2011
Title
Éric Laflamme (Banque Nationale)
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September 23, 2011
Title
Katie Walmsley and Scott Mahaffy (Portfolio Management Association of Canada)
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September 23, 2011
Title
D. J. Burwell (Edward Jones)
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September 23, 2011
Title
Anita Anand, Nancy Averill, Paul Bates, Stan Buell, Lincolyn Caylor, Steve Germaise and Michael Wissell (Investor Advisory Panel)
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September 22, 2011
Title
Brad Beuttenmiller (Franklin Templeton Investments Corp.) eMail
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September 22, 2011
Title
Jean Carrier (Peak Group)
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September 22, 2011
Title
Murray J. Taylor (Investors Group Inc.)
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September 22, 2011
Title
Marion Kinio (Pollitt Investment Counsel Inc.) eMail
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September 22, 2011
Title
Michel Boutin and Maxim Gauthier (Mérici Services Financiers Inc.)
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September 22, 2011
Title
Gordon A. Reid (Goodreid Investment Counsel Corp)
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September 22, 2011
Title
Greg Pollock and Robert McCullagh (Advocis)
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September 22, 2011
Title
Peter Kelleher (Independent Planning Group Inc.) eMail
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September 22, 2011
Title
Robert Kirwin and David Blanchard (MD Physician Services Inc. and MD Management Limited)
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September 22, 2011
Title
John S. Clarke (Pacific Spirit Investment Management Inc.)
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September 22, 2011
Title
Joni Alexander (MFDA Investor Protection Corporation)
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September 22, 2011
Title
Thomas W. Mills (Independent Planning Group Inc.)
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September 21, 2011
Title
Danielle Park (Venable Park Investment Counsel Inc.) eMail
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September 21, 2011
Title
Blair Cooper (Tradex Management Inc.)
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September 21, 2011
Title
Betty Jo Royce (Queensbury Strategies Inc.) eMail
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September 21, 2011
Title
Andy Mitchell (Worldsource Financial Management) eMail
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September 21, 2011
Title
Gerry Meyers (Independent Planning Group) eMail
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September 21, 2011
Title
Brian Fredericks (Independent Planning Group Inc.) eMail
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September 21, 2011
Title
Ronald P. Harvey (Independent Planning Group Inc.) eMail
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September 21, 2011
Title
Sonia LeRoy (Independent Planning Group) eMail
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September 21, 2011
Title
Carol Clements, Sandy Parsons, Alexandra Esposito and Jamey Morse (Independent Planning Group Inc.)
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September 20, 2011
Title
Ian C. W. Russell (Investment Industry Association of Canada)
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September 20, 2011
Title
Beverly Young (Independent Planning Group)
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September 20, 2011
Title
Steve Roeske (TK Wealth Management) eMail
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September 20, 2011
Title
Murray A. Child (MDK/Child Financial Advisors) eMail
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September 20, 2011
Title
Michael Stanley (Quadrus Investment Services Ltd.)
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September 20, 2011
Title
Randolph J. Wright (Success Strategies Financial)
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September 19, 2011
Title
Sheri Willet (Independent Planning Group Inc.)
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September 19, 2011
Title
D'Arcy Mackenzie (Pope & Company Limited)
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September 19, 2011
Title
Conrad A. Montcalm eMail
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September 19, 2011
Title
Anne Valenti (Independent Planning Group Inc.)
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September 19, 2011
Title
Nathalie Terreault (Groupe Independant de Planification Inc.) eMail
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September 15, 2011
Title
Michel Kirouac (Groupe Cloutier Investissements Inc.) eMail
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September 14, 2011
Title
Robin Cornwell, eMail
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September 14, 2011
Title
Daniel Bissonnette (Les Services Financiers Planifax Inc.) eMail
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September 12, 2011
Title
Ian Pember (Alternative Investment Management Association Canada and the Legal & Finance Committee)
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September 7, 2011
Title
Joanne De Laurentiis (The Investment Funds Institute of Canada) eMail
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September 6, 2011
Title
Gael Hepworth (Premier Homecare Services) eMail
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September 1, 2011
Title
Marissa Colalillo
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July 8, 2011
Title
John J. De Goey (Burgeonvest Bick Securities Limited)
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June 27, 2011
Title
Alain Richard eMail
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June 26, 2011
Title
Ken Kivenko (Kenmar Associates)
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June 25, 2011
Title
Jean-François Robert
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6 - Take-Over Bids and Special Transactions
7 - Securities Transactions Outside the Jurisdiction
8 - Investment Funds
9 - Derivatives
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OSC Bulletin
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Comments Received (comment period due September 23, 2011 )