Submissions
Latest from submissions
Stay current on the policy and industry issues where we’re working to protect the interests of the industry and investors.
Response to BCSC’s proposed fee changes
This submission advocates for a more transparent, predictable, and disciplined approach to regulatory fee-setting, helping firms better manage costs while continuing to support investors and capital markets.
CSA’s proposed changes to issuer bid, take-over bid, and beneficial-ownership reporting regimes
This submission advocates for securities rules that improve market transparency and investor protection while ensuring Canadian issuers and market participants can continue to use legitimate capital management and risk management tools efficiently and competitively.
Greater transparency and efficiency in OSC fee changes
The submission advocates for a more transparent, predictable, and efficient regulatory fee framework that supports capital formation, economic growth, and competitiveness while helping firms manage rising regulatory costs.
Modernize tax rules to keep global investment mandates in Canada
Canada risks losing global investment mandates unless its tax framework becomes more competitive.
A practical approach to CIRO CE harmonization
SIMA is advocating for a more practical, efficient, and harmonized continuing education framework that reduces administrative burden, improves accountability, and better reflects how investment industry participants operate.
CIRO’s proposed changes to client delivery obligations
The proposal could introduce new responsibilities for investment dealers to identify and address client failures to deliver securities, particularly in connection with short sales, affecting compliance, operations, and market practices.
OSC seeks feedback on how to build a machine-readable dataset of securities rules
Making securities regulation machine readable can reduce compliance burden, lower operational risk, and improve how firms access and use regulatory information.
Final phase of CIRO’s rule-consolidation project
This submission helps shape a single, harmonized regulatory framework that will govern both investment dealers and mutual fund dealers in Canada.
CIRO’s proposed dual registration amendments
This submission supports a more flexible and efficient regulatory framework that simplifies how investment dealers operate and serve clients.
Pre-budget consultation in advance of federal budget
Proposes practical policy changes to strengthen retirement savings, improve investor outcomes, and support long-term economic growth in Canada.
Proposed AMF regulatory fee increases in Quebec
Proposed AMF fee increases could raise costs for Quebec investors and reduce the competitiveness of the province’s investment industry.
OBSI dispute-resolution practices
Addresses how OBSI’s dispute-resolution practices and stakeholder engagement can strengthen investor confidence in Canada’s investment industry.
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