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Comment Letters for Proposed Amendments to NI 33-109 and Related Instruments Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines
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Securities law
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3 - Registration Requirements and Related Matters
33-109
Proposed Amendments to NI 33-109 and Related Instruments Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines
Comment Letters for Proposed Amendments to NI 33-109 and Related Instruments Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines
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Comments Received (comment period due May 5, 2021 )
Date
Comment Letters
May 5, 2021
Title
Arnie Hochman (The Investment Funds Institute of Canada)
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May 5, 2021
Title
Claire Van Wyk-Allan, Supriya Kapoor, Sarah Gardiner, Ian Pember and Belle Kaura (Alternative Investment Management Association Canada)
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May 5, 2021
Title
Rhonda Goldberg (IGM Financial Inc.)
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May 5, 2021
Title
The Canadian Advocacy Council of CFA Societies Canada
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May 5, 2021
Title
Nancy Allan (Independent Financial Brokers of Canada)
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May 5, 2021
Title
Greg Pollock and Abe Toews (Advocis, The Financial Advisors Association of Canada)
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May 5, 2021
Title
Karen Woodman (Sun Life Financial Investment Services (Canada) Inc.)
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May 5, 2021
Title
John Adams (Primerica Financial Services (Canada) Ltd.)
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May 5, 2021
Title
Financial Planning Association of Canada
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May 5, 2021
Title
Andrew Fitzpatrick (Canada Life Assurance Company)
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May 5, 2021
Title
Katie Walmsley and Margaret Gunawan (Portfolio Management Association of Canada)
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May 5, 2021
Title
Brian Koscak, David Gilkes, Nadine Milne and Peter Dunne (Private Capital Markets Association of Canada)
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May 4, 2021
Title
Rob Kirwin (VigilantCS)
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May 4, 2021
Title
Rick Headrick
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May 3, 2021
Title
Mark Kent (Portfolio Strategies Corporation)
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May 2, 2021
Title
DaSilva and Gary Legault (Association of Canadian Compliance Professionals)
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April 23, 2021
Title
Jean-Paul Bureaud (Canadian Foundation for Advancement of Investor Rights)
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April 19, 2021
Title
Michelle Alexander and Susan Copland (The Investment Industry Association of Canada)
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February 22, 2021
Title
Kenmar Associates
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Comments Received (comment period due May 5, 2021 )