Submissions

SIMA supports CIRO’s proposed Incorporated Approved Person compensation model because it would help create a more level playing field for advisor compensation while preserving client service, succession planning, and operational flexibility through team-based advisory businesses.

The proposed amendments could make it easier for public companies, particularly smaller and mid-sized issuers, to raise capital while maintaining investor protections and appropriate disclosure requirements.

This submission supports efforts to make account transfers faster, safer and more efficient for investors while ensuring implementation timelines are aligned with proven technology, operational readiness and coordinated industry participation.

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.

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.

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.

Canada risks losing global investment mandates unless its tax framework becomes more competitive.

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.

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.

Making securities regulation machine readable can reduce compliance burden, lower operational risk, and improve how firms access and use regulatory information.

This submission helps shape a single, harmonized regulatory framework that will govern both investment dealers and mutual fund dealers in Canada.

This submission supports a more flexible and efficient regulatory framework that simplifies how investment dealers operate and serve clients.