IIAC Advocacy Specific to SAID

As the national association representing the investment industry’s position on securities regulation, public policy and industry issues on behalf of our 131 IIROC-regulated investment dealer Member firms, the IIAC regularly develops submissions for consideration by provincial regulators, IIROC and federal and provincial governments, including those specific to small and independent dealers.

Our advocacy efforts have an impact on securities legislation and regulation, and fiscal and monetary policy.

Calendar of upcoming regulatory matters, including comment period deadlines and implementation dates for rule changes, is provided by the Sutton Boyce Gilkes Regulatory Consulting Group.

Note: You’ll find exclusive Tools, Templates and other content on the IIAC’s members-only website. Sign in today to explore the content not available on our public-facing website. Log in using your email address as your username. If you experience problems, please contact us.

Implementation Toolkits        CASL Map         CASL Primer Toolkit        CRM2

IIAC Letter to the CSA Regarding National Instrument 93-101 Derivatives: Business Conduct [PDF]
September 1, 2017

IIAC Letter to IIROC re: Rule Amendments Relating to the Futures Market Segregation and Portability Customer-Protection Regime [PDF]
August 15, 2017

IIAC Response to CSA Consultation Paper 51-404 – Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers [PDF]
July 28, 2017

IIAC Letter to the Montreal Exchange Regarding its Basis Trades on Close Proposal [PDF]
July 21, 2017

Quebec Immigrant Investor Program – Request for deferral of regulatory requirements [PDF]
July 7, 2017

IIAC Comments on IIROC’s Continuing Education Proposals [PDF]
June 30, 2017

IIAC Submits Response to IIROC’s Re-Published Proposed Amendments Regarding Reporting of Certain Trades to Acceptable Foreign Trade Reporting Facilities [PDF]
June 26, 2017

IIAC Letter to the Montreal Exchange re Proposal to Introduce Auctions During the Trading Process [PDF]
June 14, 2017

IIAC Letter to the Montreal Exchange on Amendments to Options Strategies Execution Procedures [PDF]
June 13, 2017

IIAC Response to CSA Consultation Paper 81-408 Consultation on the Option of Discontinuing Embedded Commissions [PDF]
June 11, 2017

IIAC Letter to the Montreal Exchange on the Governance Structure of its Regulatory Division [PDF]
June 1, 2017

IIAC letter to the CSA on allowing IIROC-regulated firms to offer legal binary options trading [PDF]
May 25, 2017

IIAC Letter to the IRS on Changes to U.S. Tax Reporting and Withholding Requirements [PDF]
May 24, 2017

IIAC Responds to OSC 2017-18 Statement of Priorities [PDF]
May 9, 2017

IIAC Responds to IIROC’s Plain-language Rulebook Proposals [PDF]
May 8, 2017

IIAC Letter to the Montreal Exchange Calling for a LOPR Alert System [PDF]
April 20, 2017

IIAC Letter to the Montreal Exchange Regarding Position Limit Increases for Options on Equity-Holding ETFs [PDF]
April 18, 2017

IIAC Letter to Montreal Exchange Calling for Clarity on Manipulative or Deceptive Methods of Trading Rules [PDF]
April 12, 2017

IIAC Letter to Department of Finance on Canada’s Anti-Money Laundering and Anti-Terrorist Financing Regime [PDF]
April 7, 2017

IIAC Letter to IRS Calling for an Extension of the QI/QDD Renewal and Application Deadline [PDF]
March 6, 2017

IIAC Comment Letter to the AMF Calling for an End to Illegal Binary Options Trading [PDF]
February 24, 2017

IIAC Response to IIROC’s Order Execution Only Guidance [PDF]
February 3, 2017

IIAC Seeks Extension of Deadline to Remit Payment of Withholding Taxes to Revenu Québec (in French only) [PDF]
January 31, 2017

IIAC Response to New IIROC Debt Information Processor Fee Model and Proposed Expanded Debt IP Service [PDF]
January 13, 2017