Welcome to SBG’s Regulatory Calendar
We try to keep the calendar current to within a week. Please let us know if we have missed anything of importance by calling Larry Boyce at 416-644-6590 or sending an e-mail .
The Recent Additions Section includes all items added in the past month by date of addition.
All current entries are then listed by the sector of the industry we think is most interested, then by the upcoming dates (comments due, implementation date or event) followed by recently implemented rules, recently issued guidance or reports and then proposals that have been through a comment period but have not yet been implemented.
Each entry contains a link to the source document. Links are set to show in a new window. Please let us know if you have a problem with any of the links.
November 28, 2016 IIROC Rules Notice 16-0271: Disclosure of Membership in IIROC – Additional versions of the IIROC Logo. (Related to Rules Notice 16-0133 regarding rule change effective January 1, 2017.) IIROC Rules Notice 16-0272: Disclosure of Membership in IIROC – IIROC Offical Brochure. (Related … Read More
November 21, 2016 CSA round tables to discuss CSA Consultation Paper 33-404 : Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients: The Ontario session will be held 6/Dec/16, 1:00 to 4:30 p.m. at the offices of the OSC, 22nd Floor, 20 … Read More
November 6, 2016 IIROC Rules Notices Rules Notice 16-0251: Guidance on Order Execution Only Services and Activities. Comments are due by December 16, 2016. MFDA Bulletin 702-P: Proposed Amendments to Rule 1.2.5 (Misleading Business Titles Prohibited). Comments are due by January 25, 2017. CSA round … Read More