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Comment Letters for Proposed Amendments: NI 31-103, NI 33-109, NI 52-107, OSC Rule 33-506 and OSC Rule 35-502 and Related Forms
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Securities law
Instruments, rules and policies
3 - Registration Requirements and Related Matters
31-103
Proposed Amendments: NI 31-103, NI 33-109, NI 52-107, OSC Rule 33-506 and OSC Rule 35-502 and Related Forms
Comment Letters for Proposed Amendments: NI 31-103, NI 33-109, NI 52-107, OSC Rule 33-506 and OSC Rule 35-502 and Related Forms
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Comments Received (comment period due March 5, 2014 )
Date
Comment Letters
March 10, 2014
Title
Murray J. Taylor (IGM Financial Inc.)
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March 10, 2014
Title
Brian Koscak (Private Capital Markets Association of Canada (formerly the Exempt Market Dealers Association of Canada)
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March 5, 2014
Title
Rebecca Cowdery, Marsha Gerhart & Erin Seed (Borden Ladner Gervais LLP)
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March 5, 2014
Title
Ralf Hensel (The Investment Funds Institute of Canada)
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March 5, 2014
Title
Katie A. Walmsley & Scott Mahaffy (Portfolio Management Association of Canada)
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March 5, 2014
Title
Donald J. Burwell (Edward Jones)
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March 5, 2014
Title
Mark Tiffin (Capital International Asset Management (Canada), Inc.)
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March 5, 2014
Title
Eric Adelson (Invesco Canada Ltd.)
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March 5, 2014
Title
Ian Pember (Alternative Investment Management Association)
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March 5, 2014
Title
Susan Han (Miller Thompson LLP)
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March 5, 2014
Title
Alix d’Anglejan-Chatillon, Ramandeep K. Grewal, Philip J. Henderson, Kenneth G. Ottenbreit, Darin R. Renton, Simon A. Romano (Stikeman Elliott LLP)
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March 5, 2014
Title
W. Sian Burgess (Fidelity Investments Canada ULC)
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March 5, 2014
Title
Robert Toomey (The Securities Industry and Financial Markets Association)
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March 5, 2014
Title
Greg Pollock & Harley Lockhart (Advocis)
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March 5, 2014
Title
Cardinale N., Pollock S., Brelser K., David A., Neilsen L., and Rafuse M. (RBC Dominion Securities Inc.; RBC Direct Investing Inc.; RBC Global Asset Management Inc.; Royal Mutual Funds Inc.; RBC Philips, Hager & North Investment Counsel Inc.)
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March 5, 2014
Title
Karen L. Barr (Investment Advisor Association)
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March 5, 2014
Title
Lindsay Speed (Canadian Foundation for Advancement of Investor Rights)
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March 4, 2014
Title
Erez Blumberger (AUM Law Professional Corporation)
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March 4, 2014
Title
Susan Copland (Investment Industry Association of Canada)
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March 4, 2014
Title
Dino Macri
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March 4, 2014
Title
Darris Cameron (Financial Value Inc.)
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March 3, 2014
Title
Stan Haug (Haug Financial Services Ltd. & TriView Capital Ltd.)
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March 3, 2014
Title
Yvan-Pierre Grimard (Mouvement de Caisses Desjardins)
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March 1, 2014
Title
Glenda Buelow (PRIVEST Wealth Management & G2 Financial Solutions)
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February 27, 2014
Title
Paul Lauzon (Lauzon Financial Advisors Inc.)
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February 26, 2014
Title
Glenn Devereaux (Devereaux Financial (1985) Inc. & Raintree Financial Solutions)
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February 26, 2014
Title
Marvin Nickle (TriView Capital Ltd.)
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February 26, 2014
Title
Hal D. Gillrie (Gillrie Financial Strategies & Raintree Financial Solutions)
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February 25, 2014
Title
Don Watt
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February 25, 2014
Title
Timothy Duquette (Sentry Group)
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February 25, 2014
Title
Eric Petersen (Prosperity Engine Inc.)
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February 25, 2014
Title
Renae Marshall (Financial Future)
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February 25, 2014
Title
Ron Lepine
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February 25, 2014
Title
Gaetan Blouin (Blouin Financial Group)
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February 25, 2014
Title
Yar Kolomijchuk (Vega Estate Planning Corp. & Raintree Financial Solutions)
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February 24, 2014
Title
Jack Comeau (Comeau Financial Inc.)
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February 21, 2014
Title
Yvonne Martin-Morrisson (Purpose Inspired Solutions & Raintree Financial Solutions)
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February 20, 2014
Title
Craig Skauge & Cora Pettipas (National Exempt Market Association)
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February 18, 2014
Title
Rob Anderson (RNL Financial Ltd.)
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February 14, 2014
Title
Stephen O'Reilly (TriView Capital Ltd.)
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February 12, 2014
Title
Letters received from individuals at Privest Wealth Management
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February 11, 2014
Title
Weston Fader (Atlas Wealth Financial)
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February 10, 2014
Title
Mark Samborski
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February 7, 2014
Title
Kent Wiebe
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February 6, 2014
Title
Letters received from individuals at Raintree Financial Solutions
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February 6, 2014
Title
Tyler Stanford (Solid Financial Options Ltd.)
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February 6, 2014
Title
Letters received from individuals at WealthTerra Capital Management Inc.
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February 6, 2014
Title
Miriam Andrews (StoneTower Financial Solutions Inc.)
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February 6, 2014
Title
Letters received from individuals at Sloane Capital Corp.
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February 6, 2014
Title
Letters received from individuals at Pinnacle Wealth Brokers
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February 3, 2014
Title
Zeljko Toic (Toic Wealth Management Corp.)
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January 23, 2014
Title
Robert Gardias (Oliver Publishing)
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SEDAR+
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Legislative reviews
Instruments, rules and policies
Instruments, rules and policies
1 - Procedure and Related Matters
2 - Certain Capital Market Participants
3 - Registration Requirements and Related Matters
4 - Distribution Requirements
5 - Ongoing Requirements for Issuers and Insiders
6 - Take-Over Bids and Special Transactions
7 - Securities Transactions Outside the Jurisdiction
8 - Investment Funds
9 - Derivatives
Documents not numbered
Securities rule-making in Ontario
Proposed instruments, rules and policies
Orders, rulings and decisions
Blanket orders
Delegation orders
OSC Bulletin
Filing documents online
Filing documents online
Registration forms and documents
Reporting issuer and issuer forms
Tribunal
Investors
Investors
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Investor protection
The OBSI Joint Regulators Committee
Investor resources
Investor research and reports
Investor warnings and alerts
Check before you invest
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Investor Advisory Panel meeting agendas
Investor Advisory Panel notices and information
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Sanctions
Allocation and use of funds from sanctions and settlements
Allocation and use of funds from sanctions and settlements
Current distributions of funds from sanctions and settlements
Individuals or companies with unpaid OSC sanctions
Cease trade and freeze orders
Mediation program
OSC Whistleblower Program
OSC Whistleblower Program
Award eligibility and process
Whistleblower protections
Submit a whistleblower report
Submit a whistleblower report
Submission guide
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Update on the OSC Whistleblower Program 2016 to 2022
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Automatically reciprocated orders and settlement agreements
OSC QuadrigaCX report
OSC QuadrigaCX report
QuadrigaCX investigative report
News & events
News & events
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Events
Speeches and interviews
OSC Dialogue
OSC Dialogue
OSC Dialogue 2025: Future Ready
OSC Dialogue 2024: Inviting, thriving and secure capital markets
OSC Dialogue 2023: Regulating with Purpose
OSC Dialogue 2025: Future Ready
Reports and publications
Media resources
Connect with us
Subscribe
Subscribe
OSC Guide
COVID-19 updates
About us
About us
Role of the OSC
Role of the OSC
Our structure
OSC Strategic Plan
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Governance
Governance
Board Directors
Board Directors
Board Director opportunities
Board committees
Accountability
Accountability
OSC Annual Report
OSC Statement of Priorities
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Comments Received (comment period due March 5, 2014 )