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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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1 - Procedure and Related Matters
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6 - Take-Over Bids and Special Transactions
7 - Securities Transactions Outside the Jurisdiction
8 - Investment Funds
9 - Derivatives
Documents not numbered
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Delegation orders
OSC Bulletin
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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
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COVID-19 updates
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OSC Strategic Plan
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Comments Received (comment period due March 5, 2014 )