Requests for Comment

This notice describes Proposed National Instrument 93-102 Derivatives: Registration and related documents. The proposed instrument describes specific requirements for persons that have registration obligations because of trading in or advising on certain derivatives. The comment period for this proposal expires on September 17, 2018.

CSA staff are seeking comment on the use of soliciting dealer arrangements in different contexts. The consultation period expires on June 11, 2018.

This notice publishes for comment proposed amendments to the prospectus and registration exemptions available for the distribution of syndicated mortgages. The comment period expires on June 6, 2018.

The BCSC is seeking comment on disclosure requirements relating to the representation of women on boards and in executive officer positions. The consultation period expires on April 10, 2018.

Consulting on the Securities Law Framework for Fintech Regulation

The BCSC is publishing this notice to obtain public comment on questions it has relating to financial technology (fintech) and potential regulatory action. The notice focuses on five areas: crowdfunding and online lending, online advisers, cryptocurrency funds, initial coin offerings and virtual currencies, and fintech regulation in the future. The comment period expires Tuesday, April 3, 2018.

This notice describes proposed amendments to National Instrument 94-101 - Mandatory Central Counterparty Clearing of Derivatives and related documents. The comment period for this proposal expires on January 10, 2018.

This notice publishes for comment proposed amendments to change the certification and information requirements of the Report of Exempt Distribution. The comment period expires December 4, 2017.

This notice publishes for comment proposed amendments to shorten the standard settlement cycle for conventional mutual funds from three days after the date of a trade to two days after the date of a trade. The comment period expires December 4, 2017.

This notice describes proposed National Instrument 93-101 Derivatives: Market Conduct and related documents.  The comment period for this proposal expires on September 1, 2017.

The purpose of this Notice is to notify the public that the comment periods for National Instrument 93-101 - Derivatives Business Conduct and National Instrument 93-102 - Derivatives: Registration will not overlap. The comment period for National Instrument 93-101 - Derivatives: Business Conduct will end on September 1, 2017, however additional comments about that Instrument will be accepted after that date if they arise as a consequence of the review of National Instrument 93-102 - Derivatives: Registration.

The CSA publishes this consultation paper to seek comments on potential options for reducing regulatory burden for non-investment fund reporting issuers in the public markets. The consultation period expires July 28, 2017.

CSA Consultation Paper 52-403 Auditor Oversight Issues in Foreign Jurisdictions

The CSA publishes this consultation paper to seek comments on whether to consider in National Instrument 52-108 Auditor Oversight to introduce certain oversight requirements for audits done by foreign firms. The consultation period expires June 24, 2017.

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.

We are publishing for comment proposed amendments to the investment fund regime that would (i) introduce investment restrictions for non-redeemable investment funds, (ii) replace the commodity pool regime with a new alternative fund regime with amended investment restrictions, and (iii) align the disclosure regime for non-exchange traded commodity pools to be similar to the conventional mutual funds. The comment period ends on December 22, 2016.

The CSA is publishing this paper to obtain public comment on its recommendations about the regulation of margin and collateral requirements for some non-centrally cleared derivatives. The comment period expires September 6, 2016.  

This paper seeks comment on proposed regulatory action aimed at enhancing the obligations that advisers, dealers and representatives owe to their clients. It is the next step in the CSA’s work towards improving the relationship between clients and their advisers, dealers and representatives. The paper seeks comment on a set of proposed regulatory reforms to National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations that would work together to better align the interests of registrants to the interests of their clients and enhance various specific obligations that registrants owe to their clients.
 

This notice summarizes the CSA’s review of the proxy voting infrastructure, seeks comment on proposed meeting vote reconciliation protocols and outlines the CSA’s next steps. The comment period ends on July 15, 2016.

This notice is publishing for comment a proposed prospectus exemption that would, subject to certain conditions, allow issuers listed on a Canadian exchange to raise money by distributing securities to investors who have obtained advice about the suitability of the investment from an investment dealer. The comment period ends on June 15, 2015.

The CSA is publishing this paper to obtain public comment on its recommendations about the regulation of derivatives trading facilities. The comment period expires March 30, 2015.

Notice and Request for Comment: Proposed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts

The Canadian Securities Administrators are publishing for a 90-day comment period a CSA risk classification methodology for use by mutual fund managers in the Fund Facts document

CSA Notice and Request for Comment - Proposed National Instrument 62-105 Security Holder Rights Plans, Proposed Companion Policy 62-105CP Security Holder Rights Plans and Proposed Consequential Amendments

The CSA is publishing this paper to obtain public comment on its recommendations about the registration of key derivatives market participants.