Comment Letters for CSA Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients

Comments Received (comment period due August 26, 2016 )

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Comment Letters
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Tom Bradley (Steadyhand Investment Funds Inc.) Document opens in new tab
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Dean Koeller (Private Mortgage Lenders Forum) Document opens in new tab
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Linda Fuerst and Jeremy Devereux (Norton Rose Fulbright Canada LLP) Document opens in new tab
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Ontario Mortgage Investment Companies Association Document opens in new tab
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Andrew Teasdale Document opens in new tab
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Mark Tiffin (Capital International Asset Management (Canada), Inc.) Document opens in new tab
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Devon Cranson (Cranson Capital Securities Inc.) Document opens in new tab
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Yasmin Lalani (Credential Financial Inc.) Document opens in new tab
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Doug Guzman and Jennifer Tory (RBC Dominion Securities Inc., RBC Phillips, Hager & North Investment Counsel Inc., Royal Mutual Funds Inc., RBC Global Asset Management Inc., RBC Direct Investing Inc. and Phillips, Hager & North Investment Funds Ltd.) Document opens in new tab
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Yvan-Pierre Grimard (Desjardins Group) Document opens in new tab
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Brad Beuttenmiller (Franklin Templeton Investments Corp.) Document opens in new tab
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Brian Lipskie (Rae & Lipskie Investment Counsel Inc.) Document opens in new tab
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Bryan Hocking (Association of Canadian Pension Management) Document opens in new tab
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Mark S. Yamada (PUR Investing Inc.) Document opens in new tab
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Marc Flynn (Canadian Securities Institute) Document opens in new tab
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Neville Joanes and Tea Nicola (WealthBar Financial Services) Document opens in new tab
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Marie Elaine Farley (La Chambre de la sécurité financière) Document opens in new tab
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Carol Lynd (Brandes Investment Partners & Co.) Document opens in new tab
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Fabienne Lacoste (Gestion FÉRIQUE) Document opens in new tab
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Peter Lewis (C.S.T. Consultants Inc.) Document opens in new tab
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Joanne Hébert (Services Financiers Acadie) Document opens in new tab
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Jim Boyle (Boyle & Co. LLP) Document opens in new tab
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Mark Adams (AGF Investments Inc.) Document opens in new tab
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Jean Carrier (PEAK Financial Group) - French Document opens in new tab
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Daniel Labonté (MD Financial Management Inc.) Document opens in new tab
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Michael A. Burns (Alternative Investment Management Association) Document opens in new tab
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John A. Adams (Primerica Financial Services) Document opens in new tab
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Mark Kent and Kenneth Parker (Portfolio Strategies Corporation) Document opens in new tab
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Martin Gagnon (National Bank of Canada Wealth Management) Document opens in new tab
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David Van de Sande Document opens in new tab
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Dannielle H. MacDonald (Nicola Wealth Management Ltd.) Document opens in new tab
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Jeffrey R. Carney (Investors Group) Document opens in new tab
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Jean-Francois Robert Document opens in new tab
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Francois Bruneau and Nathalie Girard (Groupe Cloutier Investissements Inc.) - French Document opens in new tab
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Som Seif (Purpose Investments Inc.) Document opens in new tab
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Paul D. Allison (Raymond James Ltd.) Document opens in new tab
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Eric Adelson (Invesco Canada Ltd.) Document opens in new tab
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Glen Gowland (Scotia Capital Inc., Scotia Securities Inc. and HollisWealth Advisory Services Inc.) Document opens in new tab
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Leo Salom (TD Bank Group) Document opens in new tab
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Chappuis Halder & Co. Document opens in new tab
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Craig Burrows (TriView Capital Ltd.) Document opens in new tab
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Michael Thom (The Canadian Advocacy Council for Canadian CFA Institute Societies) Document opens in new tab
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FAIR Canada Document opens in new tab
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Flavio Vani and Bertrand Larocque (Association Professionielle des Conseillers en Services Financiers - French Document opens in new tab
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Dan Hallett ( HighView Asset Management Ltd.) Document opens in new tab
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Steve Geist (CIBC Wealth Management) Document opens in new tab
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Greg Pollock and Wade A. Baldwin (Advocis) Document opens in new tab
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Barry S. McInerney (Mackenzie Financial Corporation) Document opens in new tab
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Lisa Brazeau (Investia Services Financiers Inc.) - French Document opens in new tab
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Gino Sebastian Savard and Yvan Morin (MICA Capital Inc.) - French Document opens in new tab
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McBride Bond Christian LLP Document opens in new tab
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Robert Strickland (Fidelity Investments Canada ULC) Document opens in new tab
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Charles K. Langford (Charles K. Langford Inc.) - French Document opens in new tab
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Gilles G. Ouellette (BMO Wealth Management) Document opens in new tab
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Investor Advisory Panel Document opens in new tab
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Wayne Strandlund, Joel Rosenberg and Dawn Paniz (Fisgard Asset Management Corporation) Document opens in new tab
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John S. Clark (Pacific Spirit Investment Management Inc.) Document opens in new tab
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Merici Young (Compass360 Consulting Inc.) Document opens in new tab
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Michelle Alexander and Naomi Solomon (The Investment Industry Association of Canada) Document opens in new tab
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Stephen R. Cameron and Harry J. Carmichael (Watt Carmichael Inc.) Document opens in new tab
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Rick Annaert (Manulife Securities) Document opens in new tab
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Amy Aubin and Tom MacMillan (Gluskin Sheff + Associates Inc.) Document opens in new tab
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Patrick Primerano and David Tasker (National Bank Correspondent Network Inc.) Document opens in new tab
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Consumers Council of Canada Document opens in new tab
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Atul Tiwari (Vanguard Investments Canada Inc.) Document opens in new tab
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Michael Stanley (Quadrus Investment Services Ltd.) Document opens in new tab
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Wanda Morris and Wade R. Poziomka (CARP) Document opens in new tab
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Nancy Allan (Independent Financial Brokers of Canada) Document opens in new tab
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Bill Packham and Alexandra Williams (Qtrade Financial Group) Document opens in new tab
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Margaret Gunawan (BlackRock Asset Management Canada Limited Document opens in new tab
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Nadine Milne, Alison Fletcher and Julie A. Clarke (Mandeville Holdings Inc.) Document opens in new tab
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Raymonde Crête and Cinthia Duclos (Faculty of law, Université Laval) Document opens in new tab
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Robert Parsons and Mark Kennedy (Arrow Capital Management Inc.) Document opens in new tab
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Canadian Bankers Association Document opens in new tab
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Linda McCormick (Highstreet Asset Management Inc.) Document opens in new tab
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Harold. C. Blanes and Alan Blanes Document opens in new tab
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Nick DiRenzo (Sun Life Financial Investment Services (Canada) Inc.) Document opens in new tab
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Junaid K. Subhan, Alix d'Anglejan-Chatillon, Jeffrey Elliott, Ramandeep K. Grewal, Darin R. Renton, Nicholas Badeen and Paul Burd (Stikeman Elliott LLP) Document opens in new tab
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Normand Pepin (iA Financial Group) Document opens in new tab
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Steven J. Donald (Assante Wealth Management Ltd) Document opens in new tab
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Clay Gillespie (Rogers Group Financial) Document opens in new tab
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Rebecca Cowdery, Laura Paglia, Prema Thiele and Ronald Kosonic (Borden Ladner Gervais LLP) Document opens in new tab
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Financial Planning Standards Council Letter Document opens in new tab
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Darrell Bartlett (Knowledge First Financial Inc.) Document opens in new tab
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Heather Schlerloski Document opens in new tab
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Will Lockett (Altus Securities Inc.) Document opens in new tab
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Richard Bergeron (Canadian Western Financial) Document opens in new tab
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David Gilkes, Brian Koscak, Nadine Milne, Zachary Goldenberg, Doug Bedard and Georgina Blanas (Private Capital Markets Association of Canada) Document opens in new tab
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Canadian Independent Asset Management Document opens in new tab
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Michel Boutin and Maxime Gauthier (Mérici Services Financiers Inc. Document opens in new tab
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Ian Noetzel (Orbis Investments (Canada) Limited) Document opens in new tab
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David Burbach (YTM Capital Asset Management Ltd.) Document opens in new tab
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Govind Achyuthan (Acumen Capital Finance Partners Limited) Document opens in new tab
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Lorraine Bate Boerop (Monarch Wealth Corportion) Document opens in new tab
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Debra A. McFadden Document opens in new tab
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National Exempt Market Association Document opens in new tab
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Manny DaSilva (Association of Canadian Compliance Professionals) Document opens in new tab
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Paul Renaud (RESP Dealers Association of Canada) Document opens in new tab
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Sandra L. Kegie ( The Federation of Mutual Fund Dealers ) Document opens in new tab
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Wiley Auch (Longbow Capital Inc.) Document opens in new tab
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Katie Walmsley and Margaret Gunawan (PMAC) Document opens in new tab
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Brenda Plant (Ethiquette.ca) Document opens in new tab
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DIAM Capital Markets Inc. Document opens in new tab
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Deb Abbey (Responsible Investment Association) Document opens in new tab
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John G. Novachis (Investment Planning Counsel Inc.) Document opens in new tab
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Anthony Boright (InvestorCOM Inc.) Document opens in new tab
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Ryan Colwell Document opens in new tab
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Chris Reed Document opens in new tab
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Samira Khakpoor (Equiton Capital Inc.) Document opens in new tab
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Paul C. Bourque (IFIC) Document opens in new tab
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Stan Buell (Small Investor Protection Association) Document opens in new tab
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Edward J. Waitzer and Keith Ambachtsheer Document opens in new tab
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Keith Costello (The Canadian Institute of Financial Planners) Document opens in new tab
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James E. A. Turner Document opens in new tab
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Peter Benedek Document opens in new tab
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Peter Whitehouse Document opens in new tab
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Arthur Ross Document opens in new tab
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Ken Kivenko (Kenmar Associates) Document opens in new tab