Skip to content
OSC Guidance Regarding Disruption of Mail Service
eFilings
Français
Search
Main navigation
Industry
Registration and compliance
Getting registered
Ongoing requirements
Changes to registration
Opportunity to be heard and Director’s decisions
Applying for relief
Registrant Outreach program
Registrant search
Registration forms and documents
Working with older and vulnerable clients
Registered crypto asset trading platforms
Innovation at the OSC
Companies
Selling securities in Ontario
Continuous disclosure
Resources for small and medium enterprises
Industry-specific disclosure requirements
Information on IFRS
Reporting issuer and issuer forms
Mergers and acquisitions
Issuer-related instruments, policies and notices
Applying for discretionary relief
Designated benchmarks and benchmark administrators
Investment funds and structured products
Types of investment funds
Prospectus offerings for investment funds in Ontario
Operating an investment fund in Ontario
Ongoing disclosure requirements for investment funds in Ontario
Marketing and sales of investment funds
IFSP eNews
Investment fund survey
Market regulation
Self-regulatory organizations (SRO)
Marketplaces
Clearing agencies and clearing houses
Investor protection funds
Information processors
Trade repositories
Market structure initiatives
Derivatives
Data reporting requirements for derivatives in Ontario and trade repository designation
Legal entity identifiers
CDOR/CORRA-based OTC derivatives trend analysis
SEDAR+
Securities law
Legislation
Legislative reviews
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
Registration forms and documents
Reporting issuer and issuer forms
Tribunal
Investors
Investor protection
The OBSI Joint Regulators Committee
Investor resources
Investor research and reports
Investor warnings and alerts
Check before you invest
OSC in the Community
Investor Advisory Panel
Members of the Investor Advisory Panel
Investor Advisory Panel meeting agendas
Investor Advisory Panel notices and information
Submissions by the Investor Advisory Panel
Enforcement
Court proceedings
Sanctions
Allocation and use of funds from sanctions and settlements
Individuals or companies with unpaid OSC sanctions
Cease trade and freeze orders
Mediation program
OSC Whistleblower Program
Award eligibility and process
Whistleblower protections
Submit a whistleblower report
Update on the OSC Whistleblower Program 2016 to 2022
Investigation resources
Automatically reciprocated orders and settlement agreements
OSC QuadrigaCX report
QuadrigaCX investigative report
News & events
News releases
Events
Speeches and interviews
OSC Dialogue
Reports and publications
Media resources
Connect with us
Subscribe
OSC Guide
COVID-19 updates
About us
Role of the OSC
Our structure
OSC Strategic Plan
OSC organization and leadership
Advisory committees
Governance
Board Directors
Board committees
Accountability
OSC Annual Report
OSC Statement of Priorities
OSC Business Plan
OSC Service Commitment
Expense disclosure
Domestic and international engagement
Domestic engagement
International engagement
Visits from foreign delegations
Careers at the OSC
Working at the OSC
Student employment opportunities
Applying for a job with the OSC
Contact us
Accessing OSC records
Open Data
Open Data feedback form
Search
Comment Letters for CSA Notice: 33-402 - Principles and Practices for the Sale of Products and Services in the Financial Sector
Breadcrumb
Home
Securities law
Instruments, rules and policies
3 - Registration Requirements and Related Matters
33-402
CSA Notice: 33-402 - Principles and Practices for the Sale of Products and Services in the Financial Sector
Comment Letters for CSA Notice: 33-402 - Principles and Practices for the Sale of Products and Services in the Financial Sector
Component Menu Left Sidebar
Securities law
Legislation
Instruments, rules and policies
Proposed instruments, rules and policies
Orders, rulings and decisions
Blanket orders
Delegation orders
OSC Bulletin
Filing documents online
Comments Received (comment period due May 29, 2003 )
Date
Comment Letters
July 3, 2003
Title
David Phillips (Credit Union Central of Canada)
Document opens in new tab
June 17, 2003
Title
Stephen Stewart (Atlantic Blue Cross Care)
Document opens in new tab
June 6, 2003
Title
Brian Gilbert (IBAC)
Document opens in new tab
June 4, 2003
Title
Steve Howard (Advocis)
Document opens in new tab
May 30, 2003
Title
John Karapita
Document opens in new tab
May 29, 2003
Title
John Mountain (IFIC)
Document opens in new tab
May 29, 2003
Title
Terry M. Campbell (CBA)
Document opens in new tab
May 29, 2003
Title
Rita Minucci (ACFC)
Document opens in new tab
May 29, 2003
Title
Leslie Byrnes (CLHIA)
Document opens in new tab
May 29, 2003
Title
Brian Evans
Document opens in new tab
May 29, 2003
Title
Priscilla H. Healy (ACPM)
Document opens in new tab
May 28, 2003
Title
Marvin G. Baer
Document opens in new tab
May 26, 2003
Title
David Barber & John Whaley
Document opens in new tab
May 23, 2003
Title
Oscar Zimmerman (CAFII)
Document opens in new tab
May 15, 2003
Title
J. M. Roberts (SGI Canada)
Document opens in new tab
May 15, 2003
Title
Donald J. Johnston (FPSC)
Document opens in new tab
March 11, 2003
Title
Bob Lesperance
Document opens in new tab
Main navigation mobile
Industry
Back
Registration and compliance
Back
Getting registered
Back
How to register a firm
How to register an individual
Ongoing requirements
Back
Business conduct requirements
Compliance system
Compliance-related reports, staff notices and email notifications
Financial requirements
OSC compliance reviews
Updating registration information
Changes to registration
Back
Changing registration categories or jurisdictions
Registration terms and conditions
Surrendering registration
Suspending, reinstating and revoking registration
Transferring registration to another firm
Opportunity to be heard and Director’s decisions
Applying for relief
Registrant Outreach program
Back
Topical Guide for Registrants
Registrant search
Back
Registered Firms List
Registration forms and documents
Back
Fees
Back
Participation fees
Activity fees
Late fees
National Registration Database (NRD) fees
Working with older and vulnerable clients
Registered crypto asset trading platforms
Innovation at the OSC
Companies
Back
Selling securities in Ontario
Back
Pre-filing a prospectus with the OSC
Filing a prospectus in Ontario
Prospectus marketing rules
Acquisition disclosure when filing a prospectus
Other prospectus matters
The exempt market
Back
Exempt Distributions Summary
Continuous disclosure
Back
Insider reporting
Resources for small and medium enterprises
Industry-specific disclosure requirements
Back
Specific disclosure requirements for mining and oil and gas companies
Canadian cannabis industry disclosure requirements
Information on IFRS
Back
Guidelines for Requests for Consultations with the Office of the Chief Accountant
Reporting issuer and issuer forms
Back
Filing due dates calendar for annual and interim filings by reporting issuers
Form 45-106F1 - Report of Exempt Distribution
Mergers and acquisitions
Back
Take-over bids and issuer bids
Conflict of interest transactions
Take-over bid defensive tactics
Early warning system and alternative monthly reporting system
Issuer-related instruments, policies and notices
Applying for discretionary relief
Designated benchmarks and benchmark administrators
Investment funds and structured products
Back
Types of investment funds
Prospectus offerings for investment funds in Ontario
Operating an investment fund in Ontario
Ongoing disclosure requirements for investment funds in Ontario
Marketing and sales of investment funds
IFSP eNews
Investment fund survey
Back
Investment Fund Survey data
Market regulation
Back
Self-regulatory organizations (SRO)
Back
Canadian Investment Regulatory Organization (CIRO)
Predecessor self-regulatory organizations
Back
Investment Industry Regulatory Organization of Canada (IIROC)
Mutual Fund Dealers Association of Canada (MFDA)
Marketplaces
Back
Exchanges
Back
Recognized exchanges
Exempt exchanges
Swap Execution Facilities and Multilateral Trading Facilities
Alternative trading systems (ATSs)
Back
ATSs operating in Ontario
Clearing agencies and clearing houses
Back
Recognized clearing agencies
Exempted clearing agencies
Investor protection funds
Back
Canadian Investor Protection Fund (CIPF)
Predecessor investor protection funds
Back
Former Canadian Investor Protection Fund (former CIPF)
MFDA Investor Protection Corporation (MFDA IPC)
Information processors
Trade repositories
Market structure initiatives
Derivatives
Back
Data reporting requirements for derivatives in Ontario and trade repository designation
Legal entity identifiers
CDOR/CORRA-based OTC derivatives trend analysis
SEDAR+
Securities law
Back
Legislation
Back
Legislative reviews
Instruments, rules and policies
Back
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
Back
Registration forms and documents
Reporting issuer and issuer forms
Tribunal
Investors
Back
Investor protection
Back
The OBSI Joint Regulators Committee
Investor resources
Investor research and reports
Investor warnings and alerts
Check before you invest
OSC in the Community
Investor Advisory Panel
Back
Members of the Investor Advisory Panel
Investor Advisory Panel meeting agendas
Investor Advisory Panel notices and information
Submissions by the Investor Advisory Panel
Enforcement
Back
Court proceedings
Sanctions
Back
Allocation and use of funds from sanctions and settlements
Back
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
Back
Award eligibility and process
Whistleblower protections
Submit a whistleblower report
Back
Submission guide
Technical support for submitting a Whistleblower report
Update on the OSC Whistleblower Program 2016 to 2022
Investigation resources
Automatically reciprocated orders and settlement agreements
OSC QuadrigaCX report
Back
QuadrigaCX investigative report
News & events
Back
News releases
Events
Back
Speeches and interviews
OSC Dialogue
Back
OSC Dialogue 2024: Inviting, thriving and secure capital markets
OSC Dialogue 2023: Regulating with Purpose
OSC Dialogue 2021: Creating Conditions for Growth
Reports and publications
Media resources
Connect with us
Subscribe
Back
OSC Guide
COVID-19 updates
About us
Back
Role of the OSC
Back
Our structure
OSC Strategic Plan
OSC organization and leadership
Advisory committees
Governance
Back
Board Directors
Back
Board Director opportunities
Board committees
Accountability
Back
OSC Annual Report
OSC Statement of Priorities
OSC Business Plan
OSC Service Commitment
Back
OSC Service Standards Reporting
Expense disclosure
Domestic and international engagement
Back
Domestic engagement
Back
Domestic Memoranda of Understanding (MOUs)
International engagement
Back
International Memoranda of Understanding (MOUs)
Data privacy and the Administrative Arrangement
Visits from foreign delegations
Careers at the OSC
Back
Working at the OSC
Student employment opportunities
Applying for a job with the OSC
Contact us
Back
Accessing OSC records
Open Data
Back
Open Data feedback form
eFilings
Français
Comments Received (comment period due May 29, 2003 )