Submissions & Letters

IIAC Submission re IIROC Competency Profiles Phase III [PDF]
December 23, 2022

IIAC Submission re CSA Access Based Delivery of Financial Statements [PDF]
December 23, 2022

IIAC Responds to Bank of Canada GMF Fail Fee Consultation [PDF]
December 9, 2022

IIAC Further Corresponds with Saskatchewan on Proposed Title Regulations [PDF]
December 5, 2022

IIAC Recommends New SRO for Mutual Fund Dealers in Quebec [PDF]
December 2, 2022

IIAC Recommends CRA Abandon its Discretionary Beneficiary Position [PDF]
December 1, 2022

IIAC Recommends Resolutions to Market Data Costs [PDF]
October 12, 2022

IIAC Continues to Encourage New Brunswick to Avoid Duplication of Oversight of Financial Advisor and Financial Planner Titles [PDF]
October 3, 2022

IIAC declines Saskatchewan’s Proposals for Financial Advisor and Financial Planner Titles [PDF]
September 20, 2022

IIAC Requests Accommodations for Foreign Filers to Access IRS FIRE System [PDF]
August 29, 2022

IIAC Provides Analysis to the CSA and CCIR on Proposed Amendments to Total Cost Reporting for Investment Funds and Segregated Funds [PDF]
July 27, 2022

IIAC Comments on Access Equals Delivery Model for Non-Investment Fund Reporting Issuer [PDF]
July 6, 2022

IIAC Encourages and Supports CSA Efforts to Achieve a Harmonious Transition to a Fresh SRO [PDF]
June 24, 2022

IIAC Responds to IIROC Proposed Derivatives Rule Modernization [PDF]
June 13, 2022

IIAC Seeks IRS relief from Withholding Requirements for Publicly Traded Partnership Distributions [PDF]
May 31, 2022

IIAC Seeks to Amend Proposed Principles of Conduct for Insurance Intermediaries [PDF]
May 20, 2022

IIROC OECD CARF and CRS Amendments Submission [PDF]
April 28, 2022

IIAC Responds to IIROC Consultation on Reporting, Investigations and Client Complaints [PDF]
April 14, 2022

IIAC Responds to SEC T+1 Consultation [PDF]
April 11, 2022

IIAC Submission to CCIR and CISRO on Proposed Incentive Management Guidance [PDF]
April 4, 2022

IIAC Letter to the OSC and IIROC re: Suitability Considerations for Households [PDF]
March 16, 2022

IIAC Letter to the CSA re: Financial Professionals Title Protection Framework [PDF]
March 15, 2022

IIAC Letter to FINTRAC re Withdrawal of Temporary COVID-related Support to Reporting Entities [PDF]
February 26, 2022

IIAC Provides Feedback on Draft Capital Markets Act [PDF]
February 17, 2022

IIAC Submission on Proposed National Instrument 51-107 Disclosure of Climate-Related Matters [PDF]
February 15, 2022

Consultation Summary: Improving End-of-Day Valuations for Thinly Traded Equities [PDF]
February 15, 2022

IIAC Letter to Ontario Minister of Finance re: Financial Professionals Title Protection Framework [PDF]
February 14, 2022

IIAC Responds to Independent Evaluation of the Ombudsman for Banking Services and Investments with Respect to Investment Related Companies [PDF]
January 31, 2022

IIAC Letter to Federal Finance Minister Freeland and Housing Minister Hussen Re: Policy Priorities Contained in the Liberal Government’s Housing Plan [PDF]
January 24, 2022

IIAC Comments on Quebec Act Respecting the Protection of Personal Information in the Private Sector [PDF]
January 24, 2022

IIAC Comments on IIROC Proposed Competency Profiles for Directors, Executives, UDPs, CCOs, and CFOs [PDF]
December 23, 2021

IIAC Comments on Proposed Revisions to FSRA Supervision Guidance and Application Guidance [PDF]
December 13, 2021

IIAC Comments on AMF Proposed Financial Sector Complaint Handling and Dispute Resolution Regulation [PDF]
December 8, 2021

IIAC Comments on Alberta Lobbyists Act [PDF]
November 30, 2021

IIAC Comments on CSA Proposal to Introduce a Listed Issuer Financing Exemption [PDF]
October 26, 2021

IIAC Calls on Canadian Securities Regulators to Improve the Way Thinly Traded Securities are Valued [PDF]
October 21, 2021

IIAC Comments on the Regulation of the Titles Financial Planner and Financial Advisor in New Brunswick to the Financial and Consumer Services Commission of New Brunswick [PDF]
October 12, 2021

IIAC and FMFD Responds to FSRA Fee Proposal [PDF]
October 5, 2021

IIAC Responds to CSA Proposal to Create New Self-Regulatory Organization [PDF]
October 4, 2021

IIAC Responds to Saskatchewan’s Proposed Regulations for Financial Planners and Financial Advisors [PDF]
October 1, 2021

IIAC Responds to IRS Electronic Filing Requirements for Specified Returns and Other Documents [PDF]
September 21, 2021

IIAC Responds to Consultation on Amendments to Continuous Disclosure Obligations [PDF]
September 17, 2021

IIAC Comments on IIROC Rules and Form 1 Relating to the Futures Segregation and Portability Customer Protection Regime [PDF]
August 26, 2021

IIAC Comments on MXR Consultation Paper on New Client Identifiers and Other Markers at Order Entry [PDF]
August 25, 2021

IIAC Comments on MXR Span Methodology for Client Accounts [PDF]
August 24, 2021

IIAC Responds to IIROC Proposed Guidance on KYC and Suitability Determination [PDF]
August 20, 2021

IIAC Requests Extension on MXR COVID-19 Measures [PDF]
August 19, 2021

IIAC Responds to the Ontario Government’s Public Consultation on Modernizing Privacy in Ontario [PDF]
August 10, 2021

IIAC Comments on Proposed Amendments to Rules of Bourse de Montréal Related to the Conduct of its Regulatory Functions [PDF]
July 22, 2021

IIAC Responds to TSX Close Bid Offer Definitions [PDF]
July 19, 2021

IIAC Responds to FSRA Titling Requirements for Financial Advisors and Financial Planners [PDF]
June 18, 2021

Global Securities and Investment Industry Associations Make Recommendations on Benchmark Data Costs [PDF]
June 9, 2021

President’s Letter V137 – Advances on dealer platforms supercharge the investor experience [PDF]
June 1, 2021

IIAC Responds to Proposed Amendments to National Instrument 33-109 and Related Instruments: Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting & Updating Filing Deadlines (“the Proposed Revisions”) [PDF]
April 19, 2021

IIAC Comments on Forms W-8BEN, W-8BEN-E, W-8ECI, W-8EXP, W-8IMY and Tax Treaty Limitation of Benefits [PDF]
April 19, 2021

IIAC Responds to IIROC’s Margining of Structured Products [PDF]
April 12, 2021

Investment Industry SRO Forum Submission to the CSA [PDF]
March 31, 2021

IIAC Responds to CDS Proposed Fee Model Changes [PDF]
March 29, 2021

IIAC Submission to the U.S. Department of the Treasury and IRS re: Final Regulations under section 1446(f) [PDF]
March 24, 2021

Joint Association Statement on Bill C-11 to Update Federal Privacy Legislation [PDF]
March 17, 2021

IIAC Responds to IOSCO Consultation on Market Data [PDF]
February 26, 2021

IIAC Comments on Amendments to Article 6.206 of the Rules of Bourse de Montréal Inc. to modify the minimum volume threshold for block transactions on Three-Month Canadian Bankers’ Acceptance Futures (BAX) [PDF]
February 25, 2021

IIAC Responds to IIROC’s Request for Comments regarding Client Focused Reforms [PDF]
January 22, 2021

President’s Letter V136 – 2020 performance indicates the investment industry is well-positioned for the post-COVID recovery [PDF]
January 1, 2021

 

IIAC Responds to Proposed Prospectus Exemption for Self-Certified Investors [PDF]
December 23, 2020

IIAC Comments on Proposed Amendments to National Instrument 45-106 Prospectus Exemptions [PDF]
December 17, 2020

IIAC Comments on Proposed Amendments to the Rules of Bourse de Montréal regarding trade cancellation and/or price adjustment [PDF]
December 17, 2020

IIAC Comments on IIROC Proposed Amendments Respecting the Trading of Derivatives on a Marketplace [PDF]
December 7, 2020

IIAC Comments on Proposed Amendments to Rule A-9 and to Rule B-3 of the Canadian Derivatives Clearing Corporation concerning Adjustments to Contract Terms [PDF]
December 3, 2020

IIAC Request Relief for QI’s RO Certification Deadlines [PDF]
November 27, 2020

IIAC Comments on Treatment of Non-Default Losses at CDS and CDCC [PDF]
November 26, 2020

IIAC Responds to New Brunswick Unclaimed Property Rules [PDF]
November 23, 2020

IIAC Responds to Ontario’s Consultation on Digital Identities [PDF]
November 20, 2020

IIAC Comments on IIROC Consultation Paper – Competency Profiles for Registered Representatives and Investment Representatives, Retail and Institutional [PDF]
October 29, 2020

IIAC Comments on FSRA Proposed Financial Professionals Title Protection Rule [PDF]
October 26, 2020

IIAC Responds to CSA Consultation on the Self-Regulatory Organization Framework [PDF]
October 23, 2020

IIAC Responds to Request for Comments on Amendments of the Rules of the Bourse to Accommodate the Extension of the Bourse’s Trading Hours [PDF]
October 5, 2020

Joint Letter to the Quebec Minister of Justice on Bill 64 – An Act to modernize legislative provisions as regards the protection of personal information (in French) [PDF]
October 1, 2020

IIAC Responds to the Consultation on Strengthening Privacy Protections in Ontario [PDF]
October 1, 2020

IIAC Responds to CSA Staff Notice 31-358 re CCO Models [PDF]
September 30, 2020

IIAC Comments on Québec Bill 64 [PDF]
September 23, 2020

IIAC Comments on MFDA Consultation on Account Transfers [PDF]
September 16, 2020

IIAC Submits Comments to the Ontario Capital Markets Modernization Taskforce [PDF]
September 10, 2020 (updated August 17, 2021)

President’s Letter V135 – The coming battleground for retail distribution [PDF]
September 1, 2020

IIAC Comments on Amendments to the Rules of Bourse de Montreal Inc. to Modify the Nominal Value of the Two-Year Government of Canada Bond Futures (CGZ) [PDF]
August 27, 2020

IIAC Comments on Amendments to the Rules and Operations Manual of the Canadian Derivatives Clearing Corporation regarding the requirement of the Authorization Stamp by Clearing Members [PDF]
August 27, 2020

IIAC Comments on Amendments to Article 6.206 of the Rules of Bourse de Montréal Inc. to modify the minimum volume threshold for block transactions on Three-Month Canadian Bankers’ Acceptance Futures (BAX) [PDF]
August 25, 2020

IIAC Letter to Finance Minister Freeland re: Immigrant Investor Program [PDF]
August 24, 2020

IIAC Request to Revise the QI Attachment for Canada to Reflect Amendments to the PCMLTFA [PDF]
August 11, 2020

IIAC Submission to the House of Commons Standing Committee on Finance in Advance of the Upcoming Federal Budget [PDF]
August 7, 2020

IIAC Priority Recommendations on Proposed Regulations under section 1446(f) [PDF]
August 6, 2020

IIAC Letter to IIROC Regarding Proposed Regulatory Changes Resulting from the COVID-19 Experience [PDF]
July 29, 2020

IIAC Letter to the Montréal Exchange regarding amendments to the minimum price fluctuation of the Three-Month Canadian Bankers’ Acceptance Futures (BAX) [PDF]
July 24, 2020

IIAC Letter to the Montréal Exchange regarding the Investigation Process of the Regulatory Division [PDF]
July 24, 2020

IIAC Submission re Notice 2020-47 Priority Guidance Plan 2020-2021 [PDF]
July 22, 2020

Joint Association Global Memo on Market Data Costs [PDF]
June 30, 2020

IIAC Comments on Proposed Amendments to Enhance the Protection of Older and Vulnerable Clients [PDF]
June 26, 2020

IIAC Comments on Proposed Amendments to Articles 3.400 and 3.405 of the rules of Bourse de Montréal Inc.: Validity period for the training requirements for approved persons [PDF]
June 23, 2020

IIAC Comments on Proposed Amendments to Article 2.202 of the rules of Bourse de Montréal Inc.: Special Committee Tenure Limit [PDF]
June 18, 2020

IIAC Comments on Proposed Amendments to Article 2.201 of the rules of Bourse de Montréal Inc.to update the Average Price Transactions section [PDF]
June 12, 2020

President’s Letter V134 – What have we learned from the first quarter 2020 industry financial results? [PDF]
June 1, 2020

IIAC Comments on Proposed Amendments to Article 6.208 of the rules of Bourse de Montréal Inc.: Exchange of futures for related products [PDF]
May 27, 2020

IIAC Request for Relief from Backup Withholding Where TIN Applied for COVID-19 related delays [PDF]
May 27, 2020

IIAC Letter to Finance Minister Morneau re: Immigrant Investor Program [PDF]
May 5, 2020

President’s Letter V133 – Improving business access to public equity capital: The first order of business for recovery [PDF]
May 1, 2020

IIAC Request for Relief re: Signature Requirements for Form W-9 [PDF]
April 29, 2020

Letter to Finance Minister Morneau requesting changes to tax treatment of capital losses for 2020 tax year [PDF]
April 21, 2020

IIAC Recommendations for the Qualified Intermediary Agreement [PDF]
April 17, 2020

IIAC Letter to CIPF requesting fee relief [PDF]
April 13, 2020

IIAC Letter to IIROC requesting fee relief [PDF]
April 13, 2020

IIAC Letter to TMX Group requesting fee relief [PDF]
April 13, 2020

IIAC Letter to NEO Stock Exchange requesting fee relief [PDF]
April 13, 2020

IIAC Letter to CSE requesting fee relief [PDF]
April 13, 2020

IIAC Letter to Nasdaq Canada requesting fee relief [PDF]
April 13, 2020

IIAC Letter to Omega ATS requesting fee relief [PDF]
April 13, 2020

IIAC Letter to Alberta Government re: Electronic Signatures and Designations of Plan Beneficiaries [PDF]
April 9, 2020

IIAC Letter to Ontario Government re: Electronic Signatures and Designations of Plan Beneficiaries [PDF]
April 6, 2020

IIAC Letter to NEO Exchange re: NEO Fee Increases [PDF]
April 6, 2020

IIAC Letter to TMX Group re: CDS Fee Increase [PDF]
April 6, 2020

IIAC Letter to CSA re: Electronic Signatures and Designations of Plan Beneficiaries [PDF]
April 3, 2020

President’s Letter V132 – What’s next for securities regulators? [PDF]
April 1, 2020

IIAC request for relief from IRS and US Treasury re: information reporting deadlines and requirements due to COVID-19 [PDF]
March 27, 2020

IIAC Comments on OPC Proposals for Ensuring Appropriate Regulation of Artificial Intelligence [PDF]
March 13, 2020

IIAC Comments on Amending Certain Regulations Made Under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act, 2019 [PDF]
March 13, 2020

IIAC Responds to CSA Consultation Paper 51-405 Considerations for an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers [PDF]
March 6, 2020

IIAC Comments on IIROC Proposed Derivatives Rule Modernization [PDF]
February 19, 2020

IIAC Comments on CDS Proposed Change to Eliminate Fee Rebates and Network Connectivity Fees [PDF]
February 18, 2020

Submission to the Ontario Ministry of Finance, 2020 Budget Consultations [PDF]
February 11, 2020

Submission to the Ontario Standing Committee on Finance and Economic Affairs, 2020 Budget Consultations [PDF]
January 24, 2020

IIAC Comments on NYSE Definitions of Professional and Non-Professional Usage for Market Data Fee Filings-Harmonization Between Jurisdictions [PDF]
January 15, 2020

IIAC Comments on Proposed Amendments to the Rules of Bourse de Montréal Inc. Regarding Position Limits [PDF]
January 15, 2020

President’s Letter V131 – Structural change in investment industry will break loose this coming year as competitive conditions intensify [PDF]
January 1, 2020

 

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