Securities Law & Instruments

Parent Page

Comments Received for Mutual Fund Sales Practices (comment period closed December 13, 2018)
Date Comment Letters
August 24, 2018 Kenmar Associates
September 20, 2018 Ken Kivenko
September 25, 2018 Peter Whitehouse
September 26, 2018 Gary Stenzler
September 26, 2018 Ruth Elliott
September 27, 2018 Art Ross
October 3, 2018 Millie Jagdeo
October 3, 2018 Alan Blanes
October 6, 2018 Larry Elford
October 9, 2018 D. McFadden
October 10, 2018 Anonymous
October 22, 2018 Harvey Naglie
October 24, 2018 David Fieldstone
October 24, 2018 Isaac Glick
November 2, 2018 Mary Boom
November 2, 2018 Stan I. Buell (The Small Investor Protection Association)
November 13, 2018 Bruce Loeppky
November 20, 2018 Guillame Parent (Finandicap Inc.)
November 21, 2018 Alberta-based DIY Investor
November 26, 2018 Keir Clark
November 28, 2018 James Richard MacDonald
November 30, 2018 Neil Gross (OSC Investor Advisory Panel)
November 30, 2018 MICA Capital Inc. (Gino Sebastian Savard)
December 4, 2018 Flavio Vani et Bertrand Larocque (L’Association Professionnelle des Conseillers en Services Financiers)
December 6, 2018 Eric Portelance
December 7, 2018 The Canadian Advocacy Council for Canadian CFA Institute Societies
December 9, 2018 Yegal Rosen
December 11, 2018 Dan Hallett (HighView Asset Management Ltd.)
December 11, 2018 Tom Dusmet
December 12, 2018 Michel Boutin et Maxime Gauthier (Mérici Services Financiers Inc.)
December 12, 2018 Mouvement Desjardins (Yvan-Pierre Grimard)
December 12, 2018 Eric F. Gosselin
December 12, 2018 James S. Durnin
December 12, 2018 Paul C. Bourque (The Investment Funds Institute of Canada)
December 12, 2018 Wanda Morris and Laura Tamblyn Watts (CARP)
December 13, 2018 A. Timothy Barron, Sarah Gardiner, Supriya Kapoor, Ian Pember, Donna Spagnolo and Jennifer Wood (Alternative Investment Management Association)
December 13, 2018 Advocis, The Financial Advisors Association of Canada
December 13, 2018 Brad Beuttenmiller (Franklin Templeton Investments Corp.)
December 13, 2018 John A. Adams (Primerica Financial Services (Canada) Ltd.)
December 13, 2018 Mark Adams (AGF Investments Inc.)
December 13, 2018 Michelle Alexander and Annie Sinigagliese (Investment Industry Association of Canada)
December 13, 2018 Steve Pozgaj
December 13, 2018 Barry S. McInernery (Mackenzie Financial Corporation)
December 13, 2018 Nancy Allan (Independent Financial Brokers of Canada)
December 13, 2018 Leo Salom (TD Wealth)
December 13, 2018 François Bruneau (Group Cloutier Investissements)
December 13, 2018 Sandra L. Kegie (Federation of Mutual Fund Dealers)
December 13, 2018 Katie Walmsley and Margaret Gunawan (The Portfolio Management Association of Canada)
December 13, 2018 Doug Guzman and Neil McLaughlin (RBC Entities)
December 13, 2018 Martin Gagnon (National Bank of Canada)
December 13, 2018 Rob Strickland (Fidelity Investment Canada)
December 13, 2018 Mark S. Kent (Portfolio Strategies Corporation)
December 13, 2018 Borden Ladner Gervais LLP
December 13, 2018 Frank Allen (FAIR Canada)
December 13, 2018 Shalomi Abraham (Invesco Canada Ltd.)
December 14, 2018 Financial Planning Standards Council
December 14, 2018 Robert Frances et Marc Doré (Le Groupe financier PEAK)