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Submissions

IIAC actively represents the investment industry's views and interests to federal and provincial governments and their agencies, and to self-regulatory organizations (SROs), in areas such as securities and capital markets legislation and regulation, and fiscal and monetary policy.

IIAC works to ensure legislation and regulatory policy implemented by SROs, securities commissions, government bodies and other industry entities recognize our members' business realities and requirements.

To this end, we keep on top of the latest industry issues that impact our members and their clients through environmental scanning, research, key stakeholder relations and member feedback, developing balanced solutions that reflect both public interests and member needs.

For more information on our submissions please email PublicAffairs_AffairesPubliques@iiac.ca.

Our submissions have an impact on legislation, regulation, and fiscal and monetary policy. Read about our Successes then click on the links below to learn more about the people and organizations which make IIAC the voice of the industry.


2012

IIAC Letter to the Honourable Marie-Claude Blais, Minister of Justice and Attorney General, re Financial Services Regulatory Agency
Thu, Dec 20, 2012
IIAC responds to IIROC Concept Paper on the Feasibility of Portfolio Margining
Mon, Dec 17, 2012
IIAC Letter to CRA with Suggestions Regarding Small Business Consultations
Fri, Dec 07, 2012
Joint Industry Submission to IRS re: Electronic Transmission of W-8 Forms
Mon, Dec 03, 2012
IIAC Letter to Senate Standing Committee on National Finance re Bill C-45 as it Relates to PRPPs
Thu, Nov 29, 2012
IIAC Submission to the OSC in Response to the Request for Comments on Proposed Amendments to OSC Rule 13-502 Fees and Companion Policy 13-502CP Fees
Mon, Nov 26, 2012
Joint Industry Submission re FATCA Grandfathering Date
Wed, Nov 21, 2012
IIAC Submission re Impact of Financial Transaction Taxes by Foreign Jurisdictions on Canada
Mon, Nov 19, 2012
IIAC Response to IIROC Compensation Structures for Retail Investment Accounts
Wed, Nov 14, 2012
IIAC Response to Finance on Second Tranche of PRPP Regulations
Tue, Nov 13, 2012
Letter from IIAC to Revenue Quebec regarding 2012 Year Reporting Concerns
Mon, Nov 12, 2012
IIAC Response to BCSC Proposed Conditions of Registration for BC Dealers Trading OTC Securities
Fri, Nov 02, 2012
IIAC Letter to House of Commons Finance Committee on Bill C-45 as it Relates to Pooled Registered Pension Plans (PRPPs)
Thu, Nov 01, 2012
IIAC 2013 Pre-Budget Remarks to House of Common Standing Committee on Finance
Wed, Oct 24, 2012
IIAC Letter re Unclaimed Intangible Property Program Consultation
Mon, Oct 22, 2012
IIAC Response to Manipulative and Deceptive Trading RFC
Mon, Oct 15, 2012
IIAC Response to IIROC Restricted Dealer Proposal
Tue, Oct 09, 2012
IIAC Response to IIROC on Borrowing for Investment Purposes - Suitability and Supervision
Tue, Oct 02, 2012
IIAC Response to BCBS-IOSCO Consultative Document re Margin Requirements for Non-Centrally Cleared Derivatives
Fri, Sep 28, 2012
IIAC Response to IIROC Electronic Trading Rules
Mon, Sep 24, 2012
Joint Industry Submission to IRS re: Draft Certificates W-8IMY, W-8ECI and W-8EXP
Thu, Sep 20, 2012
IIAC Submission re Proposed Amendments to NI 31-103 Cost Disclosure Performance Reporting and Client Statements
Fri, Sep 14, 2012
IIAC Submission to CSA on Stage 2 on Point of Sale Disclosure for Mutual Fund
Tue, Sep 11, 2012
IIAC Comments on Proposed Pooled Registered Pension Plan (PRPP) Regulations
Mon, Sep 10, 2012
IIAC Letter to CFTC Regarding Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act
Mon, Aug 27, 2012
ICSA Letter to CFTC on the Proposed Interpretive Guidance on the Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act (RIN 3038–AD57)
Mon, Aug 27, 2012
IIAC Letter to CRA re Clarifying Requirements to Pay
Thu, Aug 23, 2012
IIAC Responds to CFTC Exemptive Order Regarding Swaps
Mon, Aug 13, 2012
IIAC Response to Private Member Bill on Reporting to the CRA
Mon, Aug 13, 2012
IIAC Letter to CRA Re Multi-Payment Tax Recovery Forms
Thu, Aug 09, 2012
ICSA Letter to Mark Carney, Chairman, Financial Stability Board
Wed, Aug 08, 2012
IIAC Letter to CRA Regarding Use of W8-BENs as NR301 Equivalents
Wed, Aug 08, 2012
IIAC Response to IIROC Marketplace Thresholds
Wed, Aug 08, 2012
IIAC Pre-Budget Submission to the House of Commons Finance Committee
Tue, Jul 31, 2012
IIAC Letter to Minister Flaherty on Concerns with PRPPs
Mon, Jul 30, 2012
IIAC Letter to CRA Regarding De-Registering TFSAs
Fri, Jul 27, 2012
IIAC responds to Government consultations on Venture Capital
Fri, Jul 27, 2012
IIAC Response to “Off Marketplace” Trades
Wed, Jul 11, 2012
IIAC Response to 2012 OBSI Loss Assessment Consultation
Mon, Jul 09, 2012
IIAC-IFIC Letter to Revenu Québec on Relevé 16 for Foreign Capital Gains and Investment Income
Thu, Jun 21, 2012
IIAC Response to IIROC Transparency of Short Selling and Failed Trades
Thu, May 31, 2012
IIAC Letter to CRA regarding New T5013 Requirements for Nominees
Tue, May 29, 2012
IIAC Letter to Finance Minister on Designated Stock Exchanges
Thu, May 24, 2012
IIAC Letter to Ontario Ministry of Consumer Services on Personal Property Security Act Reform
Thu, May 17, 2012
IIAC Request to CRA re Eliminating Un-Cost-Effective Correction Reporting
Thu, May 17, 2012
IIAC Response to IIROC Proposed Guidance on Short Sale and Short Marking Exempt Order Designations
Wed, May 02, 2012
Joint Industry Submission on REG-121647-10
Mon, Apr 30, 2012
IIAC Comments on Proposed Regulations (REG-121647-10) re Capital Markets Business Sector
Mon, Apr 30, 2012
IIAC Request to CRA re RRSP and RRIF Contract Numbers
Fri, Apr 20, 2012
IIAC Comments on Proposed U.S. Treasury Regulations on Dividend Equivalents REG 120282-10
Wed, Apr 11, 2012
IIAC Comments on Proposed Cost Basis Regulations for Debt Instruments and Options
Wed, Mar 14, 2012
IIAC’s comments on AMF’s notice regarding compensation of consumers of financial products and services (French Only)
Wed, Mar 14, 2012
IIAC Letter to House of Commons Finance Committee on Pooled Registered Pension Plans (PRPPs)
Mon, Mar 05, 2012
IIAC Response to Notice 45-401 Prospectus Exemptions
Wed, Feb 29, 2012
Comments on Obligations Pertaining to Supervision Amendments to Article 4002
Wed, Feb 29, 2012
IIAC Submission Re AML Consultation Paper
Wed, Feb 29, 2012
IIAC Response to Pre Marketing Proposals 2012
Wed, Feb 29, 2012
IIAC Letter to Bourse de Montreal Concerning Circulaire 008-2012 (French only, English version available soon)
Fri, Feb 24, 2012
IIAC Letter to Minister of Finance with Comments on PRPP Income Tax Act Amendments
Thu, Feb 16, 2012
IIAC Response Letter re Circuit Breakers
Mon, Feb 13, 2012
IIAC Letter to Securities Commissions
Wed, Feb 08, 2012
IIAC Response to CSA Consultation Paper 91-403 on Derivatives: Surveillance and Enforcement
Wed, Jan 25, 2012
IIAC Letter to CRA Regarding NR301, 302 and 303 Forms
Sun, Jan 22, 2012
IIAC Letter to CSA on CTO Database
Tue, Jan 03, 2012

2011

IIAC Comments on the Impact of the Proposed Volker Rule on the Marketplace for Canadian Government Securities
Wed, Dec 21, 2011
IIAC Responds to Department of Finance Consultation Paper on Proposed Amendments to the Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations on Ascertaining Identity
Fri, Dec 16, 2011
IIAC Letter to CRA regarding NR301, 302, and 303 Forms
Fri, Dec 16, 2011
IIAC Opening Remarks to Standing Senate Committee on National Finance on Bill C-13 re Registered Plan Anti-Avoidance Rules - December 6, 2011
Fri, Dec 09, 2011
IIAC Letter to Senate Committee on Bill C-13 Anti-avoidance and Related Registered Plan Provisions
Fri, Dec 02, 2011
IIAC Letter to Treasury
Thu, Nov 24, 2011
Review of Minimum Amount and Accredited Investor Exemptions
Fri, Nov 18, 2011
IIAC Response to CSA - POS- Nov 10 2011
Thu, Nov 10, 2011
Comments on the Proposed Acquisition of TMX Group, Alpha and CDS by Maple Group Acquisition Corporation
Wed, Nov 09, 2011
IIAC Requests Permanent Exemption from SEC Rule 17g-5
Wed, Nov 02, 2011
Bill C-13 to Recommendations House of Commons Standing Committee on Finance on RRSP/RRIF Anti-Avoidance and Other Rules
Mon, Oct 31, 2011
IIAC Response to Dark Liquidity Proposals
Fri, Oct 28, 2011
IIAC Pre-Budget Testimony to the House of Commons Standing Committee on Finance
Thu, Oct 27, 2011
IIAC Letter to Minister of Finance with 2012 Pre-Budget Recommendations
Mon, Oct 03, 2011
IIAC Letter to Finance and CRA Regarding RRSP and RRIF Anti-Avoidance Proposals
Fri, Sep 23, 2011
IIAC Responses to Free-Form Questions in Red Tape Reduction Commission Online Questionnaire –September 23, 2011
Fri, Sep 23, 2011
IIAC Responds to CSA on Cost Disclosure and Performance Reporting under National Instrument 31-103
Tue, Sep 20, 2011
IIAC Response: OTC Trade Repository
Fri, Sep 16, 2011
Proposed Guidance on the Guarantee by a Participant of a Trade Price for a Client Order
Fri, Sep 09, 2011
IIAC Submission to CRTC on Do Not Email Regulation
Fri, Sep 09, 2011
IIAC Submission to Industry Canada on Do Not Email Regulation
Fri, Sep 09, 2011
IIAC Responds to CSA Proposal on Enhanced Oversight of Securitized Products
Wed, Aug 31, 2011
IIAC Letter - Proposed IIROC Debt Market Rule Rewrite
Thu, Aug 25, 2011
IIAC Submission to CRA Requesting Delay in Implementation of NR 301 302 and 303 Forms
Wed, Aug 24, 2011
IIAC Letter to Commission de l'Accès à l'Information regarding Bourse LOPR Requirements
Tue, Aug 23, 2011
IIAC Response to OBSI Loss Assessment Consultation
Wed, Aug 10, 2011
IIAC Pre-Budget Submission to House of Commons Standing Committee on Finance
Mon, Aug 08, 2011
IIAC Submission to the Bourse on June 9 Response on Large Open Position Reporting (LOPR)
Fri, Jul 22, 2011
IIAC Letter to the Bourse and AMF on Draft Large Open Position Reporting (LOPR) Rule Amendments
Mon, Jul 18, 2011
IIAC Submission to Finance and CRA Regarding Budget and Ways and Means Motion RRSP Anti-Avoidance Provisions
Wed, Jul 13, 2011
IIAC Submission to IIROC on Outside Business Activities
Mon, Jul 11, 2011
IIAC Comments on NI 23-103 Electronic Trading and Direct Electronic Access to Marketplaces
Fri, Jul 08, 2011
IIAC Letter to Finance with Additional Information re: Reason for Non-MTM Tax Treatment of Broker Warrants
Thu, Jul 07, 2011
IIAC Comments on Amended National Policy 11-201
Wed, Jun 29, 2011
Proposed Amendments to NI 21-101 Marketplace Operation and NI 23-101 Trading Rules
Tue, Jun 14, 2011
An Economic Study of Securities Market Data Pricing by Canadian Trading Venues
Tue, Jun 07, 2011
IIAC Submission to U.S. Treasury and IRS on Notice 2011-34 (FATCA)
Tue, Jun 07, 2011
IIAC Letter to Minister of Finance Proposing Tax-Reporting Efficiencies for Businesses and Government and Other Issues
Thu, Jun 02, 2011
IIAC Letter to Minister of National Revenue Proposing Efficiencies for Businesses and Government in Tax Administration
Tue, May 31, 2011
IIAC Letter to Federal Department of Finance Suppporting Hong Kong Tax Treaty Negotiations
Tue, May 31, 2011
IIAC Letter to Bourse de Montreal on Draft LOPR Confidentiality Agreement
Fri, May 27, 2011
IIAC Response Letter re: Draft Guidance Short Sale and Short Marking Exempt
Thu, May 26, 2011
IIAC Response Letter re: Short Sale Regs
Thu, May 26, 2011
IIAC Letter to Bourse de Montreal on Large Open Position Reporting (LOPR)
Fri, May 20, 2011
IIAC Letter to Bourse de Montreal on Large Option Position Reporting(LOPR)
Tue, Apr 12, 2011
IIAC Submission to Federal Red Tape Reduction Commission
Thu, Mar 31, 2011
IIAC Response to OSC Staff Notice 54-701
Thu, Mar 31, 2011
IIAC Letter to B.C. Finance Minister on HST Consultations
Thu, Mar 10, 2011
IIAC Remarks to the Red Tape Reduction Commission
Thu, Mar 10, 2011
IIAC Submission to the Ontario Select Committee on the TMX-LSE Merger
Wed, Mar 09, 2011
IIAC Remarks to the Ontario Select Committee on the TMX-London Stock Exchange Merger
Wed, Mar 09, 2011
Proposals to implement the core principles of the Client Relationship Model
Mon, Mar 07, 2011
IIAC Letter to Finance Urging Fair Tax Treatment of Broker Warrants
Wed, Feb 16, 2011
IIAC Submission on Pooled Registered Pension Plans (PRPPs)
Wed, Feb 16, 2011
IIAC Letter to B.C. Finance Minister re Double Taxation Agreement with Hong Kong
Mon, Feb 14, 2011
IIAC Letter to Finance Minister Flaherty Encouraging Acceleration of Hong Kong Tax Treaty Negotiations
Wed, Feb 02, 2011
Request for Comments: Rules Notice 10-0266 “Plain language rule re-write project: Dealing with clients, Proposed Rules 3400, 3900” (the “Notice”)
Fri, Jan 14, 2011
Industry Response to CSA CP 91 401 on Over the Counter Derivatives Regulation in Canada
Fri, Jan 14, 2011
IIAC Submission to Joint Regulators on Dark Liquidity
Thu, Jan 13, 2011

2010

Letter to OBSI Re 2010 Terms of Reference
Tue, Nov 30, 2010
Submission on AML Requirements
Fri, Nov 19, 2010
IIAC Comments on U.S. FATCA&HIRE Act Implementation
Wed, Nov 10, 2010
Pre-Budget Consultations House of Commons Standing Committee on Finance
Wed, Oct 27, 2010
Administrative Notice Guidance Note Anti Money Laundering Compliance Guidance
Mon, Oct 18, 2010
Proposed Amendments to National Instrument 31103 National Instrument 33109 and OSC Rule 33506 the Amendments
Fri, Oct 08, 2010
Rules Notice 10-0227 – Award Limit and Costs Awards for IIROC Arbitration Program
Thu, Oct 07, 2010
Comment Paper to the CSA on National Instrument 54-101 – Securityholder Communications Process in Canada
Thu, Sep 02, 2010
Request for Comments: Rules Notice 10-0155 "Proposed Personal Financial Dealing and Outside Business Activities Proposals"
Fri, Aug 27, 2010
IIAC Recommendations to the House of Commons Standing Committee on Finance
Thu, Aug 12, 2010
IIROC Request for comments: Rules Notice 10-0163 "Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements"
Mon, Jul 12, 2010
U.S. Taxation of Substitute Dividends
Fri, Jul 09, 2010
IIAC Comments on IIROC’s Proposed Fee Model
Fri, Jun 25, 2010
Request for Comments: Rules Notice 10-0085 “Plain language rule rewrite project – Proposed Rule 3100, Business Conduct and Proposed Rule 3200, Client Accounts” (the “Notice”)
Tue, Jun 22, 2010
Request for Comments: Rules Notice 10-0097 "Trade Confirmation and Matching Requirements"
Mon, Jun 07, 2010
IIAC Letter to L. Kottachchi, Finance Canada re Bill C9 Excise Tax Act Amendments
Thu, Jun 03, 2010
Cross-Border Clearing and Settlement Arrangements
Wed, Jun 02, 2010
IIAC Response to IIROC Notice on Locked and Crossed Markets
Fri, May 28, 2010
Happy 40th CDS
Thu, May 13, 2010
Request for comments on draft "Requirements and Best Practices for distribution of non-arm’s-length investment products"
Fri, May 07, 2010
IIAC Provides Recommendations to Federal Government on Retirement Income Adequacy
Wed, May 05, 2010
IIAC Letter to I. Bastasic, CRA re CRA Notice 250
Wed, Apr 21, 2010
Task Force on Financial Literacy
Mon, Apr 19, 2010
Letter to CRTC - CRTC 2010-130 - Unsolicited Telecommunications Rules - Financial and insurance products and services offered to existing clients
Fri, Apr 09, 2010
IIAC Recommendations for Regulation of Direct Market Access and Sponsored Access Arrangements
Wed, Mar 31, 2010
Ontario Budget
Fri, Mar 26, 2010
IIAC Comments on IIROC Arbitration Program
Fri, Mar 19, 2010
IIAC Letter to Finance Canada ADM on CRA Notice 250
Tue, Mar 16, 2010
Summary of 2010 Key Budget Points for IIAC Members
Fri, Mar 05, 2010
IIAC Response to Request for Comments Regarding Statement of Priorities For Fiscal Year Ending March 31, 2011
Mon, Feb 22, 2010
Pre-Budget Recommendations
Fri, Feb 19, 2010
IIAC Comments on Proposed Basis Reporting Regulations
Mon, Feb 08, 2010
IIAC Response to CSA Request for Comment on NI 24-101 - Institutional Trade Matching
Fri, Jan 29, 2010

2009

IIAC Response to CSA Consultation Paper on Dark Pools
Wed, Dec 30, 2009
Request for comments on draft guidance note: Know-your-client and Suitability Guidelines the Guidance Note
Fri, Dec 18, 2009
Harmonized Sales Tax
Fri, Dec 11, 2009
Expanded Industry Consultation with the Basel Committee on Banking Supervision
Tue, Dec 08, 2009
IIAC Submission to the U.S. Ways and Means Committee on the Foreign Account Tax Compliance Act of 2009
Fri, Nov 20, 2009
ICSA Response to FATF Recommendation
Thu, Nov 19, 2009
ICSA Response to Transparency of Structured Finance Products Consultation Paper
Thu, Nov 19, 2009
IIAC Submission to CIPF Regarding Type 2 Introducers
Wed, Nov 04, 2009
National Instrument 23-102 - Use of Client Brokerage Commissions
Fri, Oct 23, 2009
Implementation of Point of Sale Disclosure for Mutual Funds
Fri, Oct 16, 2009
Letter to Ontario Minister of Finance
Thu, Oct 15, 2009
Letter to British Columbia Minister of Finance
Thu, Oct 15, 2009
IIAC Submission to CRA on Proposed Forms for Canadian Non-Residents
Tue, Sep 29, 2009
IIAC QI Committee Comments on US 2010 Revenue Proposals
Tue, Sep 29, 2009
IIAC Response to MFDA Request for Comments - Proposed Amendments to MFDA Rule 2.4.1
Thu, Sep 17, 2009
IIAC Responds to CCIR Point of Sale Consultation Document
Fri, Sep 11, 2009
IIAC Comments on Proposed Do Not Email Legislation
Fri, Aug 21, 2009
Pre-Budget Recommendations to Standing Committee on Finance
Fri, Aug 14, 2009
Registration Reform Summary
Thu, Aug 13, 2009
IIAC Response to Heritage Canada re Can you trust your financial advisor
Wed, Jul 29, 2009
IIAC Response to CBC re Can you trust your financial advisor
Wed, Jul 29, 2009
IIAC Responds to IIROC’s Client Relationship Model
Thu, Jul 23, 2009
ICSA Response to the International Organization of Securities Commissions
Thu, Jul 23, 2009
OTC Fair Pricing Comment Letter
Thu, Jul 16, 2009
Proposed Amendments to Dealer Member Rule 1300.1 – Trading in Securities of US OTC Issuers
Mon, Jul 13, 2009
IIAC Submission to the IRS on Announcement 2008-98: Proposed Amendments to QI Agreement and Audit Guidance
Fri, Jun 26, 2009
Summary of CSA Notice and Request for Comment on the Implementation of Point of Sale Disclosure for Mutual Funds
Thu, Jun 25, 2009
ICSA’s Letter to the Chairman of the Financial Stability Board (FSB) Regarding the Industry’s Willingness to Provide Comment to the FSB
Fri, Jun 19, 2009
ICSA's Letter to IOSCO's Task Force on Unregulated Markets and Products Providing Comments on their Consultation Report
Fri, Jun 19, 2009
Marketplace Fees for Access Trading and Data
Fri, Jun 19, 2009
IIAC Summary IIROC OTCBB Rule
Fri, May 29, 2009
Letter to IIROC - Procedures for Order Marker Corrections (UMIR 6.2(1) and MIN 08-0033 New Procedures for Order Marker Corrections)
Mon, May 25, 2009
TSX Request for Comments – Security Holder Approval Requirements for Acquisitions
Fri, May 08, 2009
Summary of Revised Client Relationship Model
Fri, Apr 24, 2009
Testimony to the House of Commons Standing Committee on Finance
Thu, Apr 02, 2009
Letter to Ontario Premier
Fri, Mar 20, 2009
IIROC Amendments to Complaint Handling Requirements – Client Complaint Handling Rule and Guidance Note and Amendments to IIROC Dealer Member Rules 19-37 and 2500
Tue, Mar 17, 2009
IIAC Submission to the IRS on Notice 2009-17: Information Reporting of Customer’s Basis in Securities Transactions
Mon, Mar 16, 2009
IIAC Comment Letter on CSA Consultation Paper 11-405: Securities Regulatory Proposals Stemming from the 2007-08 Credit Market Turmoil and its Effect on the ABCP Market in Canada
Fri, Feb 20, 2009
Summary of 2009 Key Budget Points
Wed, Jan 28, 2009
IIAC Ontario Budget Recommendations
Mon, Jan 26, 2009
IIAC Budget Recommendations
Thu, Jan 22, 2009
IIAC Response - Amendments for Trade Through
Fri, Jan 16, 2009
Pre-Budget Remarks
Fri, Jan 09, 2009
IIAC Comment Letter on Rule 13-502 Fees
Fri, Jan 09, 2009
IIAC Submission to US Treasury re Securities Basis Reporting by Qualified Intermediaries
Fri, Jan 09, 2009
IIAC Submission re IIROC Registration Reform
Fri, Jan 09, 2009

2008

IIAC Response to Request for Comments on Point of Sale Framework
Mon, Dec 22, 2008
Comments to IIROC on Best Practices for Product Due Diligence
Wed, Dec 17, 2008
Response to OBSI Change in Terms of Reference - Oct 2008
Fri, Nov 07, 2008
IIAC Update on Framework 81-406
Fri, Oct 24, 2008
Request for Comment: Extension of MFDA Suspension of Rule 2.4.1 – Advisor Incorporation
Tue, Oct 07, 2008
Extension of MFDA Suspension of Rule 2.4.1 – Advisor Incorporation
Mon, Oct 06, 2008
Response to CSA re Registration Passport System
Thu, Sep 18, 2008
IIAC Responds to SEC Proposal Re Rule 15a-6
Fri, Sep 12, 2008
Point of Sale Disclosure for Mutual Funds and Segregated Funds
Thu, Aug 28, 2008
IIAC Response to MFDA re CRM
Thu, Aug 28, 2008
Pre-budget recommendation to House of Commons Finance Committee
Thu, Aug 07, 2008
Submission to the Expert Panel on Securities Regulation
Mon, Jul 28, 2008
IIAC Broker Warrant Submission to Finance
Thu, Jul 10, 2008
IIAC Urges Quebec Government to Issue Non-Drivers’ Licenses
Fri, Jul 04, 2008
Letter to CSA regarding NI 54-101 Stakeholder Consultations
Fri, Jul 04, 2008
IIAC urges U.S. Senate Committee on Finance to give Treasury power to relieve basis reporting requirement
Fri, Jun 06, 2008
IIAC recommends regulatory streamlining to Quebec Ministry of Economic Development, Innovation and Export
Fri, Jun 06, 2008
IIAC writes to Senate Banking Committee on TFSAs
Fri, May 30, 2008
Letter to Ontario Ministry of Finance re Amendments to OSA
Fri, May 30, 2008
Response to CSA on Registration Reform NI 31-103 and Companion Policy
Fri, May 30, 2008
IIAC comments on Tax Free Savings Accounts
Mon, May 26, 2008
IIAC response to Client Relationship Model Proposed Rules
Wed, May 21, 2008
IIAC responds to Finance’s request regarding reduction of federal regulatory burden
Fri, May 02, 2008
IIAC asks Finance to extend Tax Act definition to cover exchange-listed funds
Fri, May 02, 2008
IIAC comments on proposed tax legislation implementing tax-free savings account vehicle
Fri, Apr 25, 2008
IIAC Comments on CSA Proposal for Soft Dollar Arrangements
Fri, Apr 11, 2008
IIAC Comments on Basis Reporting Proposals under Internal Revenue Code S. 6045
Fri, Feb 29, 2008
Highlights of 2008 Federal Budget
Fri, Feb 29, 2008
IIAC letter to provincial securities commissions regarding CRM initiative
Tue, Feb 26, 2008
IIAC urges IRS and U.S. Treasury to amend proposed withholding regulations
Thu, Feb 07, 2008
IIAC Letter to Montreal Exchange on Option Position Reporting
Wed, Feb 06, 2008
Letter to OBSI re change in Terms of Reference
Thu, Jan 31, 2008
IIAC sends Finance Minister Pre-Budget recommendations
Thu, Jan 31, 2008
IIAC Submission to the IDA - Client Relationship Model
Mon, Jan 28, 2008
IIAC Comments to U.S. Treasury on Proposed Self-Tender Regulations
Fri, Jan 18, 2008
Request to IDA Re CICA Handbook Section 5970
Fri, Jan 18, 2008
IIAC Comments on IRS Proposed Regulations on Withholding Procedures for Certain Distributions
Wed, Jan 16, 2008
IIAC Pre-Budget Presentation to Federal Government
Mon, Jan 14, 2008

2007

IIAC Letter to DTC on Section 302 Withholding Procedures
Mon, Dec 31, 2007
IIAC Letter on T3 and T5013
Wed, Dec 19, 2007
IIAC Letter to BCSC re OTCBB
Wed, Dec 19, 2007
IIAC Letter to TSX re Security Holder Approval Requirements
Wed, Dec 12, 2007
IIAC Response to IDA Complaint Handling Requirements
Fri, Dec 07, 2007
Third Party Determination Comfort Letter
Sat, Oct 27, 2007
Market Integrity Notice 2007-017 Provisions respecting short sales and failed trades
Tue, Oct 09, 2007
IIAC Response on POS mutual funds and segregated funds
Fri, Oct 05, 2007
IIAC Initial concerns with proposed framework 81‐406
Fri, Oct 05, 2007
IIAC Summary of Provisions Respecting Short Sales and Failed Trades
Fri, Sep 28, 2007
IIAC Supports Update to Canadian Securities Transfer and Related Laws
Fri, Sep 21, 2007
IIAC Submission to SEC on Free Trade in Securities
Fri, Sep 14, 2007
IIAC-IRS recommended changes to proposed amended IRS Form 1042-S
Thu, Aug 30, 2007
IIAC letter on excessive and unwanted disclosure material
Fri, Aug 24, 2007
IIAC Alternative Model Policy No. 12
Mon, Aug 20, 2007
IIAC Alternative Model Discussion Paper
Mon, Aug 20, 2007
IIAC Alternative Model Schedule A
Mon, Aug 20, 2007
IIAC Response regarding TradeThrough Protection, Best Execution and Access to Marketplaces
Thu, Jul 26, 2007
IIAC Comments on Draft W-8BEN and Instructions
Thu, Jul 12, 2007
IIAC Letter on IDA Notices
Wed, Jul 11, 2007
IIAC's action plan to address the deluge of unwanted mailings
Wed, Jul 11, 2007
IIAC response to the Registration Reform Proposal
Wed, Jun 20, 2007
IIAC Letter to Finance on eligible financial contract definition
Fri, Jun 08, 2007
IIAC Summary Proposed Framework 406: Point of Sale Disclosure for Mutual Funds and Segregated Funds
Fri, Jun 01, 2007
IIAC Letter on Passport System
Fri, May 25, 2007
Comment on Market Intermediary Management of Conflicts
Fri, May 18, 2007
IIAC letter to IDA on Policy #11
Mon, May 07, 2007
IIAC letter on GST legislation
Mon, Apr 30, 2007
IIAC letter to Ontario Securities Commission on spot foreign exchange trading
Mon, Apr 23, 2007
IIAC comments on Client Relationship Model
Mon, Apr 23, 2007
Changes to RRIF Transfer Rules
Mon, Apr 23, 2007
IIAC Comments on Anti-Money Laundering Legislation
Thu, Apr 12, 2007
Changes to the Delivery and Settlement of Debt Trades
Fri, Mar 30, 2007
Q4 2006 Securities Industry Performance Good news for brokers = Great news for economy
Fri, Mar 30, 2007
General Prospectus Requirements and related instruments (NI 41-101)
Wed, Mar 28, 2007
IIAC letter to OSC on CRM Client Survey
Tue, Mar 27, 2007
National Instrument 31-103 – Registration Reform – IIAC Summary of Issues
Thu, Mar 15, 2007
Letter from IIAC, CDS and STAC to CRA to facilitate public advice of eligible & other than eligible dividends
Mon, Mar 12, 2007
2007 Summary of IIAC Tax and Economic Recommendations
Fri, Mar 09, 2007
Pre-budget Recommendations to Federal Finance Minister
Thu, Feb 22, 2007
Russell-Audet Letter on Quebec Budget
Sat, Feb 03, 2007
IIAC response to egX Canada’s Application for Recognition as an Exchange
Thu, Feb 01, 2007
Association requests changes to Income Tax Regulations with respect to TSX shares
Thu, Feb 01, 2007
IIAC response to IDA consultation paper on Bylaws 19 and 20
Thu, Feb 01, 2007
IDA Incorporation By-Law
Mon, Jan 22, 2007
IIAC Congratulates Finance Minister on Advantage Canada: Building a Strong Economy for Canadians
Mon, Jan 01, 2007

2006

IIAC requests U.S. IRS to make changes to IRS qualified intermediary identification requirements
Fri, Dec 01, 2006
Letter to IDA – November 22, 2006
Wed, Nov 22, 2006
IIAC letter to OSC Chair regarding Best Execution and Best Price Standards for Equity Transactions in Multiple Markets
Wed, Nov 01, 2006
IIAC Response to RS Request for Comments – Provisions Respecting Competitive Marketplaces
Wed, Nov 01, 2006
IIAC responds to CSA’s proposed amendments to the ATS Rules
Sun, Oct 01, 2006
IIAC Response to Proposed National Instrument 23-102 - Use of Client Brokerage Commissions as Payment for Order Execution Services or Research (“Soft Dollar” Arrangements)
Sun, Oct 01, 2006
IIAC Urges Priority for Updating Securities Transfer Laws
Sun, Oct 01, 2006
IIAC sends Department of Finance technical concerns regarding legislation eliminating double taxation of large corporation dividends
Fri, Sep 01, 2006
IIAC – Minister of Finance Letter on Securities Lending Compensation Payments
Fri, Sep 01, 2006
IIAC writes Ontario Ministry of Economic Development and Trade on Ontario financial sector strategy
Tue, Aug 01, 2006
Joint Industry Submission on Trust Unit Tax Reporting
Tue, Jul 25, 2006
Submission to Industry Canada re Insolvency Legislation
Thu, Jun 01, 2006
IIAC responds to Canadian Securities Administrators on institutional trade matching rule (National Instrument 24-101)
Mon, May 01, 2006
Federal Pre-budget submission
Sat, Apr 01, 2006
Submission to CRTC re: "Do Not Call" Legislation
Wed, Mar 01, 2006


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Thursday, May 16, 2013

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