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Updates for the week ending January 13, 2017

Instruments & Policies

  • 81-408 - CSA Consultation Paper 81-408 - Consultation on the Option of Discontinuing Embedded Commissions

    This paper identifies investor protection and market efficiency concerns regarding embedded commissions.  The paper seeks comment on the option of discontinuing embedded commissions for all investment funds and structured notes.  In particular, the paper seeks input from stakeholders on the potential effects to investors and market participants of discontinuing embedded commissions, including how any negative impacts of such a change could be mitigated and possible alternative options to address the identified concerns.  Comments may be submitted in writing on or before June 9, 2017.


  • News release 2017/01 - BCSC alleges that B.C. man and partnership committed fraud
  • News release 2017/02 - Canadian Securities Regulators Seek Input on Potential Impacts of Discontinuing Embedded Commissions

Marketplaces, Self Regulatory Organizations (SROs) & Clearing Agencies

  • No new documents


  • No new events

Decisions, Settlements, Hearings & Temporary Orders

Cease Trade Orders & Revocations

Exemptions Orders

  • No new documents