CSA Consultation

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 Queen Street West, Toronto.  There will be an audio webcast.  Register online for the in person session or audio webast.  Deadline for in person registration is November 25, 2016.

CSA Oversight Report on the Mutual Fund Dealers Association of Canada

CSA Cyber Security Round Table, February 27, 2017 at the Ontario Securities Commission, 22nd Floor, 20 Quuen Street West, Toronto.  Market participants wishing to participate are ask to send an e-mail by December 16, 2016 with contact details, brief description of their role in the marketplace and the value they anticipate adding to the discussion to csa-acvm-secretariat@acvm-csa.ca with subject “Cyber-security Roundtable.”

CSA Staff Notice 31-347: Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members

OSC Staff Notice 11-776: Investor Office Activity Report 2015-16

OSC RegHackTO regulatory hackathon open to teams of 2 to 6, 5:00 p.m. 25/Nov/16 to 3:00 p.m. 27/Nov/16 at Bitmaker, 220 King Street West, Toronto.  Registered by noon, 23/Nov/16.

Alpha Exchange Inc. Notice of housekeeping amendments to the TSX Alpha Exchange Trading Policy Manual to conform to the final guidance published by the IIROC requiring the establishment and operation of price thresholds by all Canadian marketplaces to further reduce short-term, unexplained price volatility.

TSX – Comments Received on Proposed Amendments to the TSX Company Manual to introduce website  disclosure requirements for TSX listed issuers and to amend the disclosure requirements regarding security  based compensation arrangements.

IIAC Comment Letter on CSA Proposed Amendments to National Instrument 24-101 and Companion Policy 24-101CP: Institutional Trade Matching and Settlement and CSA Consultation Paper 24-402: Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Environment.

FINTRAC Annual Report 2015-16

FINRA Regulatory Notice 16-41: Amendments to rules government communications with the public.  The amendments are effective January 9, 2017.