Submissions & Letters

Submissions & Letters

As the national association representing the investment industry’s position on securities regulation, public policy and industry issues on behalf of our 129 IIROC-regulated investment dealer Member firms, the IIAC regularly develops submissions for consideration by provincial regulators, IIROC and federal and provincial governments.

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

A 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 will 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.

 

IIAC Submission to IIROC on Proposed Provisions Respecting Client Identifiers [PDF]
November 10, 2017

Presentation to the Standing Senate Committee on National Finance: Proposed Changes to the Income Tax Act respecting the Taxation of Private Corporations [PDF]
October 24, 2017

IIAC Letter to the Montreal Exchange Calling for and Extension of the LOPR Certification Deadline [PDF]
October 24, 2017

IIAC Request for Extension for Treaty Statement Expiry Date for Existing Clients [PDF]
October 17, 2017

Presentation to the House of Commons Standing Committee on Finance: Pre-Budget Consultations in Advance of the 2018 Budget [PDF]
October 16, 2017

Submission to the House of Commons Standing Committee on Finance: Pre-Budget Consultations in Advance of the 2018 Budget [PDF]
October 16, 2017

IIAC Responds to CSA Request for Comment on NI 45-102 Resale of Securities – Foreign Issuer Exemption [PDF]
September 27, 2017

IIAC Letter to Treasury and IRS re Executive Order 13777 (Enforcing the Regulatory Reform Agenda) and Section 871(m) [PDF]
September 22, 2017

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

IIAC Letter to IRS Proposing Simplified U.S. Tax Withholding Procedures for Section 302 Distributions [PDF]
December 23, 2016

IIAC Letter to Montreal Exchange on the Introduction of a Process to Impose Fines for Minor Violations [PDF]
December 22, 2016

IIAC Letter to the IRS and US Treasury on Concerns re Changes to Section 871m and QDD Announced in Notice 2016-76 [PDF]
December 12, 2016

IIAC Letter to Ontario Ministry of Government and Consumer Services re Business Law Advisory Council Report [PDF]
December 12, 2016

IIAC Response to IIROC Proposed Provisions Regarding Best Execution [PDF]
December 12, 2016

IIAC Comments on Proposed Amendments to NI 24-101 and CSA Consultation Paper 24-402 [PDF]
November 11, 2016

IIAC Letter to Montreal Exchange on Phase 2 of Rule Modernization Project [PDF]
October 18, 2016

IIAC Letter to OSC re Level Playing Field for IPO Financial Statement Requirements [PDF]
October 7, 2016

IIAC Comments on Proposed CRM2 Amendments to NI 31-103 and its Policy [PDF]
October 5, 2016

IIAC Submission to CSA on Consultation Paper 33-404 – Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients [PDF]
September 30, 2016

IIAC Response to Proposed OSC Rule 72-503 – Distributions Outside of Canada [PDF]
September 28, 2016

IIAC Letter to ASC on OTC Trading in CFDs, Foreign Exchange Contracts and Binary Options [PDF]
September 9, 2016

IIAC Letter to IRS re supplementary comments on the Proposed QI Agreement [PDF]
August 31, 2016

IIAC Letter to Montreal Exchange on Phase 2 of Rule Modernization Project [PDF]
August 31, 2016

IIAC Generally Supports IIROC’s Amendments to Schedule 12 of Form 1 Re: Margin on Futures Contracts [PDF]
August 22, 2016

IIAC Comments on Montreal Exchange Proposal to Introduce Share Futures Contracts [PDF]
August 11, 2016

IIAC Pre-Budget Submission to House of Commons Standing Committee on Finance (2016-17) [PDF]
August 3, 2016

IIAC Comments on CSA Consultation Regarding Proposed Proxy Voting Protocols [PDF]
July 15, 2016

IIAC Comments on IIROC’s Re-Publication of the Proposed Plain Language Rule (PLR) Book [PDF]
July 8, 2016

IIAC Response to the CSA re Order Protection Rule Trading Fee Cap Proposal [PDF]
July 6, 2016

IIAC Responds to Revised Capital Markets Stability Act [PDF]
July 6, 2016

IIAC Comment Letter to Montreal Exchange re Reform of Market Making Programs [PDF]
June 27, 2016

IIAC Response to IIROC re Proposed Amendments to UMIR 6.4 – Acceptable Foreign Trade Reporting Facilities [PDF]
June 20, 2016

IIAC Responds to Expert Committee’s Recommendations on Financial Planning [PDF]
June 10, 2016

IIAC Provides Further Comment to Treasury and IRS on Section 871(m) Regulations [PDF]
June 3, 2016

Letter from Industry Coalition to Federal, Provincial and Territorial Finance Ministers Seeking National Approach to Retirement Savings Reform [PDF]
June 1, 2016

IIAC Comment Letter to the Montreal Exchange re: Phase 1 of its Rule Modernization Project [PDF]
May 20, 2016

IIAC Letter to IRS re LOB [PDF]
April 19, 2016

IIAC Comment Letter on OSC Statement of Priorities 2016-2017 [PDF]
April 12, 2016

IIAC Response to IIROC’s Best Execution Proposal [PDF]
March 24, 2016

IIAC Comments on MFDA Consultation on Expanded Cost Reporting for Investment Funds [PDF]
March 10, 2016

IIAC Comments on CSA’s Fund Risk Classification Methodology [PDF]
March 9, 2016

IIAC Response to IIROC White Paper – The Public Policy Implications of Changes to Rules Regarding Proficiency Upgrade Requirements and Directed Commissions on the IIROC Platform [PDF]
March 7, 2016

IIAC 2016 Pre-Budget Submission to House of Commons Standing Committee on Finance [PDF]
February 19, 2016

IIAC Letter to Montreal Exchange Seeks Amendment to Special Terms Transaction Reporting [PDF]
February 10, 2016

IIAC Comment Letter on Revised Capital Markets Act and Draft Regulations for CCMRS [PDF]
December 21, 2015

IIAC Provides Further Comment to IRS on Section 871(m) Regulations [PDF]
December 17, 2015

IIAC Response to ASC-Nunavut Start-Up Prospectus Exemption [PDF]
December 9, 2015

IIAC Comments on Bourse de Montréal Inc.’s Proposed Amendments as Issued in Circular 134-15 [PDF]
December 9, 2015

IIAC Comments on Re-Publication of Proposed Amendments of Requirement to Disclose Membership in IIROC as a Dealer Member [PDF]
December 7, 2015

IIAC Comments on IIROC’s Proposed Guidance on Time Synchronization [PDF]
November 18, 2015

IIAC Comments to the ASC re Albert Investment Dealer Prospectus Exemption [PDF]
November 9, 2015

IIAC Pre-Workshop Comments to the OSC re Implementing a Segregation and Portability Regime for CCPs Serving Domestic Futures Markets [PDF]
November 4, 2015

IIAC Responds to CSA’s Proposed Debt Market Transparency Framework [PDF]
October 30, 2015

IIAC Comment Letter to Bourse de Montreal Concerning Circular 115-15, 116-15, 117-15 and 118-15 [PDF]
October 23, 2015

IIAC Submission to the CSA re Proposed Amendments to NI 45-106 Prospectus Exemptions – Relating to Reports of Exempt Distribution [PDF]
October 13, 2015

IIAC Responds to Ontario Ministry of Finance Consultations on Financial Advisory and Financial Planning Policy Alternatives [PDF]
September 21, 2015

IIAC Response to the Ontario Changing Workplaces Review [PDF]
September 16, 2015

IIAC Comment Letter to Finance re Financial Institutions Act and Credit Union Incorporation Act Review [PDF]
September 16, 2015

IIAC Comment Letter to the CSA re ETF Facts [PDF]
September 16, 2015

IIAC Comment Letter to IIROC on Short-marking Exempt Order Definition [PDF]
September 11, 2015

IIAC Submission on a Voluntary Supplement to the Canada Pension Plan [PDF]
August 28, 2015

IIAC Comment Letter to Finance on AML Regulations [PDF]
August 25, 2015

IIAC Comments to CSA re the Application of the Order Protection Rule to Marketplaces Imposing Systematic Order Processing Delays (Speedbumps) [PDF]
August 17, 2015

IIAC Pre-Budget Submission to House of Commons Standing Committee on Finance (2015-16) [PDF]
July 28, 2015

IIAC Response to IIROC’s Proposed Amendments to Unprotected Markets and Order Protection Rules [PDF]
July 16, 2015

IIAC Note to Member firms re: IIROC’s Strategic Consultations [PDF]
July 9, 2015

IIAC Submission to CSA on Proposed Take-Over Bid Amendments [PDF]
June 16, 2015

IIAC Submission to IIROC re: Proposed Guidance on Marketplace Thresholds 2015 [PDF]
May 29, 2015

IIAC Comments to IIROC on Research Analyst Rules [PDF]
April 24, 2015

IIAC 2015 Federal Budget Summary [PDF]
April 21, 2015

IIAC Response to CSA Consultation Paper 92-401 Derivatives Trading Facilities [PDF]
March 30, 2015

IIAC Letter to Finance Requesting De Minimis Financial Institution Definition CPI Adjustment [PDF]
March 20, 2015

IIAC Letter to IRS and US Treasury Requesting Delay in Application of Final Section 871(m) Regulations [PDF]
March 2, 2015

IIAC Letter to Finance on Carrying on a Business and TFSAs [PDF]
February 27, 2015

IIAC Letter to CRA on Inadvertent Overdrafts [PDF]
February 27, 2015

IIAC Response to CSA re Proposed Rights Offering Regime [PDF]
February 24, 2015

IIAC Letter to CRA re Three Actions to Address TFSA Concerns [PDF]
February 18, 2015

IIAC Response to ORPP Consultation Paper [PDF]
February 13, 2015

IIAC Comments on IIROC’s Proposed Fee Model for its planned Debt Securities Transaction Reporting Rule [PDF]
February 9, 2015

IIAC – Why Cooperative Regulator Is Better [PDF]
February 9, 2015

IIAC Letter to Finance Regarding TFSA Concerns [PDF]
December 23, 2014

IIAC Response to CSA Chair and Members on CRM2 Calendar-Year Harmonization [PDF]
December 20, 2014

IIAC Letter to Revenu Québec Regarding Tax-Reporting Changes [PDF]
December 19, 2014

IIAC Response re Alberta Unclaimed Personal Property and Vested Property Act [PDF]
December 18, 2014

IIAC Response to CDS consultation on Issuer fees [PDF]
December 12, 2014

IIAC Letter to CRA Seeking Plain-Language Communications Pieces on Carrying on Business in TFSAs, Keeping Tax Slips and Ensuring Same Surnames [PDF]
December 8, 2014

IIAC Comment Letter on the Cooperative Capital Markets Regulatory System [PDF]
December 8, 2014

365 Day Tax Reporting Cycle
[PDF]
November 28, 2014

IIAC Letter to IIROC on Book Cost Definition [PDF]
November 17, 2014

IIAC Letter to IIROC re Revised CRM2 Proposed Rules for 2015-16 [PDF]
November 17, 2014

IIAC Response to IIROC re Proficiency Assurance Model: Consultation Relating to Expiry of CSI Contract [PDF]
November 17, 2014

IIAC Response to Montreal Exchange re Derivative Position Limits [PDF]
November 3, 2014

IIAC Comments to CSA re Order Protection Rule 2014 [PDF]
September 19, 2014

IIAC-CPA Letter to Finance Re T1135 Changes [PDF]
September 15, 2014

IIAC Letter and Email to Alberta Treasury Board and Finance on Changes to Unclaimed Property Legislation [PDF]
August 22, 2014

IIAC Response to ASC re Proposed Consequential Rule Amendments Relating to Derivatives Regulation and the Securities Amendment Act 2014 [PDF]
August 21, 2014

Ontario Government Issues RFP for Investment Dealer Services
Refer to blog posting dated August 20, 2014

Exemption from the Provisions of Rules 91-507 Trade Repositories and Derivatives Data Reporting for IIROC Registered Dealers [PDF]
August 13, 2014

IIAC Request to IIROC for Extension – Order Execution Services – Client Contracts [PDF]
August 6, 2014

IIAC 2014 Pre-Budget Submission – House of Commons Standing Committee [PDF]
August 6, 2014

IIAC Letter to CSA on NI 21-101 – Marketplace Operation [PDF]
July 25, 2014

IIAC Response to IIROC re Lower Minimum Capital Requirements [PDF]
July 9, 2014

IIAC Response to IIROC re Proposed Guidance on Marketplace Thresholds [PDF]
July 3, 2014

IIAC Letter to Finance and CRA re “Carrying on a Business” and Borrowing Within TFSAs [PDF]
July 3, 2014

IIAC Response to IIROC re Provisions and Guidance Respecting Order Execution Services [PDF]
June 23, 2014

IIAC Response to OSC re: Prospectus Amendments [PDF]
June 19, 2014

IIAC Response re: Multilateral Instrument Crowdfunding[PDF]
June 19, 2014

IIAC Response re: Multilateral Instrument OM Exemption [PDF]
June 19, 2014

IIAC Response to IIROC Fee Model Guideline Amendments [PDF]
June 10, 2014

IIAC Responds to IIROC Proposed Guidance on Underwriting Due Diligence [PDF]
June 4, 2014

IIAC Supports IIROC Guidance Clarifying Part Time CFOs [PDF]
June 2, 2014

IIAC Comments on IIROC Personal Financial Dealings Rule [PDF]
May 28, 2014

IIAC Responds to CSA re: Proposed Changes to Accredited Investor and Minimum Amount Exemptions [PDF]
May 28, 2014

CBRF Response to IOSCO Questionnaire [PDF]
May 28, 2014

IIAC Response to OSC Statement of Priorities 2014-2015 [PDF]
May 27, 2014

IIAC Response to Implementation of Stage 3 of Point of Sale Disclosure [PDF]
May 26, 2014

IIAC Pre-budget Letter to Quebec’s Minister of Finance Re Recommendations to Revive Quebec’s IPO Market (available only in French) [PDF]
May 16, 2014

IIAC Response to Proposed Amendments to NI 45-106 – Short Term Debt Prospectus Exemptions [PDF]
April 23, 2014

IIROC Response to IIAC Letter on Wash Trades [PDF]
April 21, 2014

IIAC Submission to IIROC re Wash Trades March 14 – posted April 21 [PDF]
April 21, 2014

IIAC-IIROC and CSA Response on CRM2 2015 and 2016 Disclosure Requirements [PDF]
April 10, 2014

IIAC Letter to Alberta Treasury Board and Finance on PRPPs and RRSPs [PDF]
April 4, 2014

IIAC Letter to Alberta Government Re Retirement Plan Hardship Unlocking and PRPP [PDF]
April 4, 2014

IIAC Letter to BC Deputy Attorney General Re: Irrevocable Beneficiary Provisions [PDF]
March 26, 2014

IIAC Response to OSC Rule 24-503 Clearing Agency Requirements [PDF]
March 19, 2014

Canada’s Investment Industry: Protecting Senior Investors – Compliance, Supervisory and Other Practices When Serving Senior Investors [PDF]
March 18, 2014

IIAC Letter to CRA on Proposed T1135 Changes for 2014 [PDF]
March 14, 2014

IIAC Letter to IRS re REG-120282-10 (Dividend Equivalents) Supplemental Comments [PDF]
March 12, 2014

IIAC Letter to CSA on Notice 81-324 – Mutual Fund Risk Classification [PDF]
March 12, 2014

IIAC Response to IIROC’s Proposed Debt Securities Transaction Reporting Rule [PDF]
March 10, 2014

IIAC Submission to IIROC re Single Stock Circuit Breakers 2014 [PDF]
March 10, 2014

IIAC Response to CSA re Proposed Amendments to NI 31-103 [PDF]
March 4, 2014

IIAC E-Mail to Revenu Quebec re Relevé 18 (RL-18) [PDF]
February 23, 2014

IIAC Letter to IRS re Notice 2014-14 Providing Timing Relief for Application of 871(m) Regulations to ELIs [PDF]
February 20, 2014

IIAC Response to Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules [PDF]
February 11, 2014

IIAC Letter to IIROC and CSA on CRM2 July 15 2014 Disclosure Requirements [PDF]
February 10, 2014

IIAC Response re: Notice 13-0269 Revised Sanction Guidelines [PDF]
February 3, 2014

IIAC Response to Finance re: Financial Planning Consultation [PDF]
January 31, 2014

IIAC Response to Ontario Finance on Ontario PRPPs [PDF]
January 20, 2014

IIAC Response to CSA re Proposed Existing Security Holder Exemption [PDF]
January 20, 2014

IIAC Submission to IIROC re: Proposed Provisions Respecting Order Execution Services as a Form of Third Party Electronic Access to Marketplaces [PDF]
January 10, 2014

IIAC letter to BCSC re: Amendments to Conditions of Registration for BC Dealers that Trade in the U.S. OTC Markets [PDF]
December 20, 2013

Joint industry submission to IRS on proposed revisions to IRS W-8 Forms [PDF]
December 19, 2013

IIAC-BLG Letter on CDS Clearing and Depository Services Rules Review [PDF]
December 6, 2013

IIAC Brief for House of Commons Standing Committee on Finance [PDF]
November 14, 2013

IIAC Submission to the CSA Regarding Consultation Paper 54-401 – Review of the Proxy Voting Infrastructure [PDF]
November 13, 2013

IIAC-Assistant Commissioner Bennett (CRA) Follow-up Letter on T5103+T5013A Combination and XML Implementation [PDF]
November 12, 2013

IFIC-IIAC Submission to CSA Re-Consultation Paper 33-403 [PDF]
November 11, 2013

IIAC Submission Proposed Guidance on Marketplace and Average Price Trade Confirmation Disclosure [PDF]
November 4, 2013

IIAC Letter to FSCO on Ontario Financial Hardship Unlocking Guide [PDF]
October 28, 2013

IIAC-Commissioner Treusch (CRA) Letter Requesting Meeting on T5103+T5013A Combination and XML Implementation [PDF]
October 10, 2013

IIAC Response – Payday Loans Act 2008 Proposed Amendments [PDF]
September 27, 2013

IIAC Letter to FSCO on Ontario Hardship Unlocking Process and Forms [PDF]
August 31, 2013

IIAC Submission to OBSI re: Terms of Reference [PDF]
August 12, 2013

IIAC Letter to Federal Department of Finance re: Broker Warrants [PDF]
August 9, 2013

IIAC Pre-Budget Submission to House of Commons Finance Committee 2013-2014 [PDF]
August 2, 2013

IIAC Letter to CSA re Proposed Modernization of Investment Fund Product Regulation Amendments [PDF]
August 2, 2013

IIAC-IFIC Letter to Revenue Quebec on Suggested QESI Improvements [PDF]
July 31, 2013

IIAC Letter to Finance Requesting Change to Income Tax Act to Avoid Excess Penalization of Trustees and Dealers Due to Taxpayer Activities [PDF]
July 18, 2013

IIAC Submission re Take Over Bids and Early Warning 2013 [PDF]
July 12, 2013

IIAC Response to CSA 91-407 Derivatives: Registration Consultation Paper [PDF]
June 17, 2013

IIAC Letter to the CRA re: Improvements to Registered-Plan-Related Withholding Remittances [PDF]
June 6, 2013

IIAC Response to IIROC Debt Securities Transaction Reporting Proposal [PDF]
May 21, 2013

IIAC Response to the CSA re: Mutual Fund Fees [PDF]
April 12, 2013

IIAC and IFIC Letter to CRA Proposing CRA-Financial Industry Advisory Group [PDF]
March 19, 2013

IIAC Letter to CSA re Futures Regulatory Regime for Unregistered FCM Entities [PDF]
March 8, 2013

IIAC-OSC Letter on Consultation Paper on New Capital-Raising Exemptions [PDF]
March 8, 2013

IIAC Letter to Finance Re Draft Technical Amendments [PDF]
February 22, 2013

The IIAC Responds to CSA Consultation Paper 33-403 – Exploring a Best Interest Standard for Advisors [PDF]
February 22, 2013

IIAC Response to Multilateral Instrument 45-311 Re Offering Memorandum Exemption [PDF]
February 20, 2013

IIAC Letter to CSA re OBSI Jurisdiction Expansion [PDF]
February 14, 2013

IIAC Response to CSA Staff Consultation Paper 91-301 – Model Provincial Rules re Derivatives Product Determination and Reporting [PDF]
February 11, 2013

IIAC Letter to CSA re Market Data Pricing 2013 [PDF]
February 8, 2013

IIAC Response Re Proposed IIROC Provisions Respecting Third Party Electronic Access to Marketplaces [PDF]
January 23, 2013

IIAC Letter to Ontario Finance Minister Dwight Duncan on PRPPs [PDF]
January 21, 2013

IIAC Submission Re IIROC’s Guidance on Clearing Arrangements [PDF]
Jan 20, 2013

IIAC Response Re IIROC’s Outsourcing Arrangements [PDF]
January 18, 2013

IIAC Letter to OSC on Notice and Fee re Registrants’ Securities or Assets Being Acquired [PDF]
January 16, 2013

IIAC Letter to FSCO Regarding Hardship Unlocking [PDF]
January 16, 2013

IIAC Letter to the Honourable Marie-Claude Blais, Minister of Justice and Attorney General, re Financial Services Regulatory Agency [PDF]
December 20, 2012

IIAC responds to IIROC Concept Paper on the Feasibility of Portfolio Margining [PDF]
December 17, 2012

IIAC Letter to CRA with Suggestions Regarding Small Business Consultations [PDF]
December 7, 2012

Joint Industry Submission to IRS re: Electronic Transmission of W-8 Forms [PDF]
December 3, 2012

IIAC Letter to Senate Standing Committee on National Finance re Bill C-45 as it Relates to PRPPs [PDF]
November 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 [PDF]
November 26, 2012

Joint Industry Submission re FATCA Grandfathering Date [PDF]
November 21, 2012

IIAC Submission re Impact of Financial Transaction Taxes by Foreign Jurisdictions on Canada [PDF]
November 19, 2012

IIAC Response to IIROC Compensation Structures for Retail Investment Accounts [PDF]
November 14, 2012

IIAC Response to Finance on Second Tranche of PRPP Regulations [PDF]
November 13, 2012

Letter from IIAC to Revenue Quebec regarding 2012 Year Reporting Concerns [PDF]
November 12, 2012

IIAC Response to BCSC Proposed Conditions of Registration for BC Dealers Trading OTC Securities [PDF]
November 2, 2012

Inter-Association Letter to Revenu Quebec re RL15s and RL16s (Foreign Income and Taxes) [PDF]
November 2, 2012

IIAC Letter to House of Commons Finance Committee on Bill C-45 as it Relates to Pooled Registered Pension Plans (PRPPs) [PDF]
November 1, 2012

IIAC 2013 Pre-Budget Remarks to House of Common Standing Committee on Finance [PDF]
October 24, 2012

IIAC Letter re Unclaimed Intangible Property Program Consultation [PDF]
October 22, 2012

IIAC Response to Manipulative and Deceptive Trading RFC [PDF]
October 15, 2012

IIAC Letter to FCAC re Dealer Concerns with DTI Regulations [PDF]
October 9, 2012

IIAC Response to IIROC Restricted Dealer Proposal [PDF]
October 9, 2012

IIAC Response to IIROC on Borrowing for Investment Purposes – Suitability and Supervision [PDF]
October 2, 2012

IIAC Response to BCBS-IOSCO Consultative Document re Margin Requirements for Non-Centrally Cleared Derivatives [PDF]
September 28, 2012

IIAC Response to IIROC Electronic Trading Rules [PDF]
September 24, 2012

Joint Industry Submission to IRS re: Draft Certificates W-8IMY, W-8ECI and W-8EXP [PDF]
September 20, 2012

IIAC Submission re Proposed Amendments to NI 31-103 Cost Disclosure Performance Reporting and Client Statements [PDF]
September 14, 2012

IIAC Submission to CSA on Stage 2 on Point of Sale Disclosure for Mutual Fund [PDF]
September 11, 2012

IIAC Comments on Proposed Pooled Registered Pension Plan (PRPP) Regulations [PDF]
September 10, 2012

IIAC Letter to CFTC Regarding Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act [PDF]
August 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) [PDF]
August 27, 2012

IIAC Letter to CRA re Clarifying Requirements to Pay [PDF]
August 23, 2012

IIAC Responds to CFTC Exemptive Order Regarding Swaps [PDF]
August 13, 2012

IIAC Response to Private Member Bill on Reporting to the CRA [PDF]
August 13, 2012

IIAC Letter to CRA Re Multi-Payment Tax Recovery Forms [PDF]
August 9, 2012

ICSA Letter to Mark Carney, Chairman, Financial Stability Board [PDF]
August 8, 2012

IIAC Letter to CRA Regarding Use of W8-BENs as NR301 Equivalents [PDF]
August 8, 2012

IIAC Response to IIROC Marketplace Thresholds [PDF]
August 8, 2012

IIAC Pre-Budget Submission to the House of Commons Finance Committee [PDF]
July 31, 2012

IIAC Letter to Minister Flaherty on Concerns with PRPPs [PDF]
July 30, 2012

IIAC Letter to CRA Regarding De-Registering TFSAs [PDF]
July 27, 2012

IIAC responds to Government consultations on Venture Capital [PDF]
July 27, 2012

IIAC Response to “Off Marketplace” Trades [PDF]
July 11, 2012

IIAC Response to 2012 OBSI Loss Assessment Consultation [PDF]
July 9, 2012

IIAC-IFIC Letter to Revenu Québec on Relevé 16 for Foreign Capital Gains and Investment Income [PDF]
June 21, 2012

IIAC Response to IIROC Transparency of Short Selling and Failed Trades [PDF]
May 31, 2012

IIAC Letter to CRA regarding New T5013 Requirements for Nominees [PDF]
May 29, 2012

IIAC Letter to Finance Minister on Designated Stock Exchanges [PDF]
May 24, 2012

IIAC Letter to Ontario Ministry of Consumer Services on Personal Property Security Act Reform [PDF]
May 17, 2012

IIAC Request to CRA re Eliminating Un-Cost-Effective Correction Reporting [PDF]
May 17, 2012

IIAC Response to IIROC Proposed Guidance on Short Sale and Short Marking Exempt Order Designations [PDF]
May 2, 2012

Joint Industry Submission on REG-121647-10 [PDF]
April 30, 2012

IIAC Comments on Proposed Regulations (REG-121647-10) re Capital Markets Business Sector [PDF]
April 30, 2012

IIAC Request to CRA re RRSP and RRIF Contract Numbers [PDF]
April 20, 2012

IIAC Comments on Proposed U.S. Treasury Regulations on Dividend Equivalents REG 120282-10 [PDF]
April 11, 2012

IIAC Comments on Proposed Cost Basis Regulations for Debt Instruments and Options [PDF]
March 14, 2012

IIAC’s comments on AMF’s notice regarding compensation of consumers of financial products and services (French Only) [PDF]
March 14, 2012

IIAC Letter to House of Commons Finance Committee on Pooled Registered Pension Plans (PRPPs) [PDF]
Mar 5, 2012

IIAC Response to Notice 45-401 Prospectus Exemptions [PDF]

Comments on Obligations Pertaining to Supervision Amendments to Article 4002 [PDF]
February 29, 2012

IIAC Submission Re AML Consultation Paper [PDF]
February 29, 2012

IIAC Response to Pre Marketing Proposals 2012 [PDF]
February 29, 2012

IIAC Letter to Bourse de Montreal Concerning Circulaire 008-2012 (French only, English version available soon) [PDF]
February 24, 2012

IIAC Letter to Minister of Finance with Comments on PRPP Income Tax Act Amendments [PDF]
February 16, 2012

IIAC Response Letter re Circuit Breakers [PDF]
February 13, 2012

IIAC Letter to Securities Commissions [PDF]
February 8, 2012

IIAC Response to CSA Consultation Paper 91-403 on Derivatives: Surveillance and Enforcement [PDF]
January 25, 2012

IIAC Letter to CRA Regarding NR301, 302 and 303 Forms [PDF]
January 22, 2012

IIAC Letter to CSA on CTO Database [PDF]
January 3, 2012

IIAC Comments on the Impact of the Proposed Volcker Rule on the Marketplace for Canadian Government Securities [PDF]
December 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 [PDF]
December 16, 2011

IIAC Letter to CRA regarding NR301, 302, and 303 Forms [PDF]
December 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 [PDF]
December 9, 2011

IIAC Letter to Senate Committee on Bill C-13 Anti-avoidance and Related Registered Plan Provisions [PDF]
December 2, 2011

IIAC Letter to Treasury [PDF]
November 24, 2011

Review of Minimum Amount and Accredited Investor Exemptions [PDF]
November 18, 2011

IIAC Response to CSA – POS- Nov 10 2011 [PDF]
November 10, 2011

Comments on the Proposed Acquisition of TMX Group, Alpha and CDS by Maple Group Acquisition Corporation [PDF]
November 9, 2011

IIAC Requests Permanent Exemption from SEC Rule 17g-5 [PDF]
November 2, 2011

Bill C-13 to Recommendations House of Commons Standing Committee on Finance on RRSP/RRIF Anti-Avoidance and Other Rules [PDF]
October 31, 2011

IIAC Response to Dark Liquidity Proposals [PDF]
October 28, 2011

International Council of Securities Associations (ICSA) Letter to European Commission on a Global Financial Transaction Tax [PDF]
October 27, 2011

IIAC Pre-Budget Testimony to the House of Commons Standing Committee on Finance [PDF]
October 27, 2011

IIAC Letter to Minister of Finance with 2012 Pre-Budget Recommendations [PDF]
October 3, 2011

IIAC Letter to Finance and CRA Regarding RRSP and RRIF Anti-Avoidance Proposals [PDF]
September 23, 2011

IIAC Responses to Free-Form Questions in Red Tape Reduction Commission Online Questionnaire –September 23, 2011 [PDF]
September 23, 2011

IIAC Responds to CSA on Cost Disclosure and Performance Reporting under National Instrument 31-103 [PDF]
September 20, 2011

IIAC Response: OTC Trade Repository [PDF]
September 16, 2011

Proposed Guidance on the Guarantee by a Participant of a Trade Price for a Client Order [PDF]
September 9, 2011

IIAC Submission to CRTC on Do Not Email Regulation [PDF]
September 9, 2011

IIAC Submission to Industry Canada on Do Not Email Regulation [PDF]
September 9, 2011

IIAC Responds to CSA Proposal on Enhanced Oversight of Securitized Products [PDF]
August 31, 2011

IIAC Letter – Proposed IIROC Debt Market Rule Rewrite [PDF]
August 25, 2011

IIAC Submission to CRA Requesting Delay in Implementation of NR 301 302 and 303 Forms [PDF]
August 24, 2011

IIAC Letter to Commission de l’Accès à l’Information regarding Bourse LOPR Requirements [PDF]
August 23, 2011

IIAC Response to OBSI Loss Assessment Consultation [PDF]
August 10, 2011

IIAC Pre-Budget Submission to House of Commons Standing Committee on Finance [PDF]
August 8, 2011

IIAC Letter to Finance on Tax Aspects of Pooled Registered Pension Plans (PRPPs) [PDF]
August 3, 2011

IIAC Letter to Jeremy Rudin ADM Finance re PRPP Framework [PDF]
July 29, 2011

IIAC Letter to Junior Finance Minister Menzies and Provincial Ministers on PRPP [PDF]
July 28, 2011

IIAC Submission to the Bourse on June 9 Response on Large Open Position Reporting (LOPR) [PDF]
July 22, 2011

IIAC Letter to the Bourse and AMF on Draft Large Open Position Reporting (LOPR) Rule Amendments [PDF]
July 18, 2011

IIAC Submission to Finance and CRA Regarding Budget and Ways and Means Motion RRSP Anti-Avoidance Provisions [PDF]
July 13, 2011

IIAC Submission to IIROC on Outside Business Activities [PDF]
July 11, 2011

IIAC Comments on NI 23-103 Electronic Trading and Direct Electronic Access to Marketplaces [PDF]
July 8, 2011

IIAC Letter to Finance with Additional Information re: Reason for Non-MTM Tax Treatment of Broker Warrants [PDF]
July 7, 2011

IIAC Comments on Amended National Policy 11-201 [PDF]
June 29, 2011

Proposed Amendments to NI 21-101 Marketplace Operation and NI 23-101 Trading Rules [PDF]
June 14, 2011

An Economic Study of Securities Market Data Pricing by Canadian Trading Venues [PDF]
June 7, 2011

IIAC Submission to U.S. Treasury and IRS on Notice 2011-34 (FATCA) [PDF]
June 7, 2011

IIAC Letter to Minister of Finance Proposing Tax-Reporting Efficiencies for Businesses and Government and Other Issues [PDF]
June 2, 2011

IIAC Letter to Minister of National Revenue Proposing Efficiencies for Businesses and Government in Tax Administration [PDF]
May 31, 2011

IIAC Letter to Federal Department of Finance Suppporting Hong Kong Tax Treaty Negotiations [PDF]
May 31, 2011

IIAC Letter to Bourse de Montreal on Draft LOPR Confidentiality Agreement [PDF]
May 27, 2011

IIAC Response Letter re: Draft Guidance Short Sale and Short Marking Exempt [PDF]
May 26, 2011

IIAC Response Letter re: Short Sale Regs [PDF]
May 26, 2011

IIAC Letter to Bourse de Montreal on Large Open Position Reporting (LOPR) [PDF]
May 20, 2011

IIAC Letter to Bourse de Montreal on Large Option Position Reporting(LOPR) [PDF]
April 12, 2011

IIAC Submission to Federal Red Tape Reduction Commission [PDF]
March 31, 2011

IIAC Response to OSC Staff Notice 54-701 [PDF]
March 31, 2011

IIAC Letter to B.C. Finance Minister on HST Consultations [PDF]
March 10, 2011

IIAC Remarks to the Red Tape Reduction Commission [PDF]
March 10, 2011

IIAC Submission to the Ontario Select Committee on the TMX-LSE Merger [PDF]
March 9, 2011

IIAC Remarks to the Ontario Select Committee on the TMX-London Stock Exchange Merger [PDF]
March 9, 2011

Proposals to implement the core principles of the Client Relationship Model [PDF]
March 7, 2011

IIAC Letter to Finance Urging Fair Tax Treatment of Broker Warrants [PDF]
February 16, 2011

IIAC Submission on Pooled Registered Pension Plans (PRPPs) [PDF]
February 16, 2011

IIAC Letter to B.C. Finance Minister re Double Taxation Agreement with Hong Kong [PDF]
February 14, 2011

IIAC Letter to Finance Minister Flaherty Encouraging Acceleration of Hong Kong Tax Treaty Negotiations [PDF]
February 2, 2011

Request for Comments: Rules Notice 10-0266 “Plain language rule re-write project: Dealing with clients, Proposed Rules 3400, 3900” (the “Notice”) [PDF]
January 14, 2011

Industry Response to CSA CP 91 401 on Over the Counter Derivatives Regulation in Canada [PDF]
January 14, 2011

IIAC Submission to Joint Regulators on Dark Liquidity [PDF]
January 13, 2011

Letter to OBSI Re 2010 Terms of Reference [PDF]
November 30, 2010

Submission on AML Requirements [PDF]
November 19, 2010

IIAC Comments on U.S. FATCA&HIRE Act Implementation [PDF]
November 10, 2010

Pre-Budget Consultations House of Commons Standing Committee on Finance [PDF]
October 27, 2010

Administrative Notice Guidance Note Anti Money Laundering Compliance Guidance [PDF]
October 18, 2010

Proposed Amendments to National Instrument 31103 National Instrument 33109 and OSC Rule 33506 the Amendments [PDF]
October 8, 2010

Rules Notice 10-0227 – Award Limit and Costs Awards for IIROC Arbitration Program [PDF]
October 7, 2010

Comment Paper to the CSA on National Instrument 54-101 – Securityholder Communications Process in Canada [PDF]
September 2, 2010

Request for Comments: Rules Notice 10-0155 “Proposed Personal Financial Dealing and Outside Business Activities Proposals” [PDF]
August 27, 2010

IIAC Recommendations to the House of Commons Standing Committee on Finance [PDF]
August 12, 2010

IIROC Request for comments: Rules Notice 10-0163 “Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements” [PDF]
July 12, 2010

U.S. Taxation of Substitute Dividends [PDF]
July 9, 2010

IIAC Comments on IIROC’s Proposed Fee Model [PDF]
June 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”) [PDF]
June 22, 2010

Request for Comments: Rules Notice 10-0097 “Trade Confirmation and Matching Requirements” [PDF]
June 7, 2010

IIAC Letter to L. Kottachchi, Finance Canada re Bill C9 Excise Tax Act Amendments [PDF]
June 3, 2010

Cross-Border Clearing and Settlement Arrangements [PDF]
June 2, 2010

IIAC Response to IIROC Notice on Locked and Crossed Markets [PDF]
May 28, 2010

Happy 40th CDS [PDF]
May 13, 2010

Request for comments on draft “Requirements and Best Practices for distribution of non-arm’s-length investment products” [PDF]
May 7, 2010

IIAC Provides Recommendations to Federal Government on Retirement Income Adequacy [PDF]
May 5, 2010

IIAC Letter to I. Bastasic, CRA re CRA Notice 250 [PDF]
April 21, 2010

Task Force on Financial Literacy [PDF]
April 19, 2010

Letter to CRTC – CRTC 2010-130 – Unsolicited Telecommunications Rules – Financial and insurance products and services offered to existing clients [PDF]
April 9, 2010

IIAC Recommendations for Regulation of Direct Market Access and Sponsored Access Arrangements [PDF]
March 31, 2010

Ontario Budget [PDF]
March 26, 2010

IIAC Comments on IIROC Arbitration Program [PDF]
March 19, 2010

IIAC Letter to Finance Canada ADM on CRA Notice 250 [PDF]
March 16, 2010

Summary of 2010 Key Budget Points for IIAC Members [PDF]
March 5, 2010

IIAC Response to Request for Comments Regarding Statement of Priorities For Fiscal Year Ending March 31, 2011 [PDF]
February 22, 2010

Pre-Budget Recommendations [PDF]
February 19, 2010

IIAC Comments on Proposed Basis Reporting Regulations [PDF]
February 8, 2010

IIAC Response to CSA Request for Comment on NI 24-101 – Institutional Trade Matching [PDF]
January 29, 2010

IIAC Response to CSA Consultation Paper 23-404 Dark Pools, Dark Orders and Other Developments in Market Structure in Canada [PDF]
December 21, 2009

IIAC Comments on IIROC Know-Your Client (KYC) and Suitability Guidelines [PDF]
December 16, 2009

IIAC Remarks to Ontario Standing Committee on Finance and Economic Affairs Regarding Bill 218 [PDF]
December 7, 2009

ICSA Submission to BCSC Regarding Expanded Industry Consultation with the BCSC [PDF]
December 2, 2009

ICSA Response to IOSCO on the Transparency of Structured Finance Products [PDF]
November 13, 2009

IIAC Letter to CIPF Regarding Fees for Type 2 Introducers [PDF]
October 30, 2009

IIAC 2009 Pre-Budgetary Consultations to the House of Commons Standing Committee on Finance [PDF]
October 22, 2009

IIAC Letter to the CSA Regarding the Implementation of Point of Sale Disclosure for Mutual Funds [PDF]
October 16, 2009

IIAC Letter to ON Minister of Finance and Revenue Regarding Sales Tax Harmonization in Ontario [PDF]
October 15, 2009

IIAC Letter to BC Ministry of Finance and Deputy Premier Regarding Sales Tax Harmonization in British Columbia [PDF]
October 15, 2009

IIAC Comments on the Canadian Council of Insurance Regulators (CCIR) Consultation Document on the Implementation of Joint Forum [PDF]
October 11, 2009

IIAC Letter to CRA Regarding Forms NR301, NR302 and NR303 [PDF]
September 28, 2009

IIAC Comments on Proposed Amendments to MFDA Rule 2.4.1 [PDF]
September 17, 2009

IIAC Letter to IIROC Regardig IIROC Proposed Rule 3900 [PDF]
August 24, 2009

IIAC Letter to the House of Commons Standing Committee on Industry Regarding Bill C-27 – The Electronic Commerce Protection Act (ECPA) [PDF]
August 12, 2009

IIAC 2009 Pre-Budget Recommendations to the House of Commons Standing Committee on Finance [PDF]
August 12, 2009

IIAC Letter to the Canadian Minister of Heritage Regarding CBC Sunday Segment [PDF]
July 29, 2009

IIAC Letter to CBC President [PDF]
July 29, 2009

IIAC Letter to OSC and IIROC Regarding the Client Relationship Model (CRM) [PDF]
July 23, 2009

ICSA Response to IOSCO on the Impact on and Responses of Emerging Markets to the Financial Crisis [PDF]
July 21, 2009

IIAC Comments on IIROC Rules Notice 09-0109 – Proposed Over-the-counter Securities Fair Pricing Rule and Confirmation Disclosure Requirements [PDF]
July 14, 2009

IIAC Letter to the OSC and IIROC Regarding the Proposed Amendments to Dealer Member Rule 1300.1 – Trading in Securities of US OTC Issuers [PDF]
July 13, 2009

IIAC Letter to the Halifax Chronicle Herald Regarding and Article on the Federal Initiative for a Single Securities Regulator [PDF]
July 13, 2009

ICSA Submission to the BIS Regarding Industry Consultation with the Financial Stability Board [PDF]
June 19, 2009

IIAC Response to CSA Letter Regarding Marketplace Fees for Access, Trading and Data [PDF]
June 16, 2009

ICSA Submission to IOSCO Regarding IOSCO’s Consultation Report on Unregulated Financial Markets and Products [PDF]
June 15, 2009

IIAC Comments on TSX Security Holder Approval Requirements for Acquisitions [PDF]
May 4, 2009

Ian Russell (IIAC) Presentation to the Vancouver Board of Trade – Resilience of Canada’s Financial Institutions and Markets [PDF]
April 23, 2009

IIAC Remarks – Testimony to the House of Commons Standing Committee on Finance [PDF]
April 2, 2009

Ian Russell (IIAC) Presentation to the Calgary Chamber of Commerce – Turbulent Markets Demand Major Changes [PDF]
March 24, 2009

IIAC Letter to the Ontario Government Regarding Sales Tax Harmonization in Ontario [PDF]
March 18, 2009

IIAC Letter to the Government of Ontario Regarding Sales Tax Harmonization [PDF]
March 18, 2009

IIAC QI Committee Comments on IRS Notice 2009-17 – Information Reporting of Customer’s Basis in Securities Transactions [PDF]
March 16, 2009

IIAC Letter Regarding IIROC Amendments to Complaint Handling Requirements and to IIROC Dealer Member Rules 19, 37 and 2500 [PDF]
March 16, 2009

Ian Russeell (IIAC) Speech to the HAlifax Chamber of Commerce – Turbulent Markets Demand Major Change [PDF]
March 4, 2009

IIAC Comments on IRS Announcement 2008-98 on Proposed Ammendments [PDF]
February 26, 2009

IIAC Comments on CSA Consultation Paper 11-405 – Securities Regulatory Proposals Stemming from 07-08 Turmoil and its Effect on ABCP Markets in Canada [PDF]
February 17, 2009

IIAC Letter to the Quebec Ministerial Committee on Economic Prosperity and Sustainable Development Recommending the Use of Non-Driver’s Driver’s License [PDF]
February 17, 2009

IIAC 2009 Ontario Pre-Budget Recommendations [PDF]
January 26, 2009

IIAC Letter to CSA Regarding IIROC Notice 08-0163 – Provisions Respecting Implementation of Trade-Through Protection [PDF]
January 9, 2009

IIAC Letter on Securities Basis Reporting by QIs [PDF]
January 9, 2009

IIAC 2009 Pre-Budget Remarks Before Conservative Members of the Finance Committee [PDF]
January 8, 2009

IIAC Letter Regarding IIROC Amendments to Implement the CSA Registration Reform Project [PDF]
December 22, 2008

IIAC Letter to OSC Regarding Proposed Revocation and Replacement of OSC Rule and Companion Policy 13-502 Fees [PDF]
December 19, 2008

IIAC Comments on IIROC Draft Guidance Note – Best Practices for Product Due Diligence [PDF]
December 16, 2008

IIAC Letter to IRS Regarding the QI Treatment of TFSAs [PDF]
October 21, 2008

IIAC Letter to the Editor of the Invesment Executive [PDF]
October 6, 2008

IIAC Letter to the CSA Regarding Proposed Policy and Amendments to the Passport System in the Canadian Securities Marketplace [PDF]
September 12, 2008

IIAC Comments on SEC Proposed Rules for Exemption of Certain Foreign Brokers or Dealers [PDF]
September 8, 2008

IIAC Letter to BCSC and MFDA Regarding the Client Relationship Model (CRM) [PDF]
August 18, 2008

IIAC Letter to Financial Services Commission of Ontario Regarding Point of Sale Disclosure for Mutual Funds and Segregated Funds [PDF]
August 12, 2008

IIAC Recommendations to the HoC Standing Committee on Finance Regarding Reforms to Canada’s Capital Gains Tax Framework [PDF]
August 7, 2008

IIAC Submission to the Expert Panel on Securities Regulation [PDF]
July 2008

IIAC Letter to DoF on Broker Warrants [PDF]
July 10, 2008

IIAC Broker Warrant Submission to Finance [PDF]
July 8, 2008

IIAC Letter to the OSC Regarding National Instrument 54-101 Stakeholder Consultations [PDF]
June 27, 2008

IIAC Request to Committee on Finance for Meeting on Basis Proposals [PDF]
June 6, 2008

IIAC Request for Meeting on Basis Reporting Proposals [PDF]
June 6, 2008

IIAC Letter to Quebec Government Regarding Recommendations on Regulatory Streaming [PDF]
June 4, 2008

IIAC Comments to the Senate Banking Committee Regarding Tax-Free Savings Accounts (TFSAs) [PDF]
May 30, 2008

IIAC Response to Proposed National Instrument 31-103 and Companion Policy 31-103 – Registration Requirements [PDF]
May 28, 2008

IIAC Letter to the Ministry of Finance Regarding the Consultation Draft of Amendments to the Ontario Securities Act [PDF]
May 28, 2008

Ian Russell (IIAC) Presentation to House of Commons Standing Committee on Finance Regarding TFSAs [PDF]
May 26, 2008

IIAC Letter to IDA and OSC Regarding the Client Relationship Model (CRM) Rules [PDF]
May 21, 2008

Ian Russell (IIAC) Presentation to the Calgary Chamber of Commerce – Seizing Global Opportunities [PDF]
May 5, 2008

IIAC Letter Regarding the Extension in Definition of Qualified Securities for the Purpose of Securities Lending [PDF]
May 2, 2008

IIAC Letter to DoF on Reducing Administrative Burden and Increasing Competitiveness [PDF]
April 30, 2008

IIAC Letter to DoF Regarding TFSA [PDF]
April 23, 2008

IIAC Submission to Finance – A Capital Idea [PDF]
April 8, 2008

Ian Russell (IIAC) Speech to the Montreal Economic Institute Regarding Canadian Securities Regulation [PDF]
March 20, 2008

Ian Russell (IIAC) Presentation to the Calgary Chamber of Commerce – Seizing Global Opportunities [PDF]
March 5, 2008

IIAC Comments on Basis Reporting Proposals Under Revenue Code S. 6045 [PDF]
February 28, 2008

IIAC Letter to the Competition Policy Review Panel Regarding Sharpening Canada’s Edge [PDF]
February 20, 2008

IIAC Letter to OBSI Regarding Proposed Amended Terms of Reference for OBSI [PDF]
January 31, 2008

IIAC Letter to DoF Regarding 2008 Pre-Budget Recommendations [PDF]
January 31, 2008

IIAC Letter to IDA Regarding the Client Relationship Model (CRM) [PDF]
January 29, 2008

IIAC Letter to OIRA on Proposed Tender Offer Changes [PDF]
January 18, 2008

IIAC Letter to the IDA Regarding CICA Requirement for Audit for Introducers and the Section 5970 Report [PDF]
January 16, 2008

IIAC Letter to IRS Regarding Proposed Regulations (REG-140206-06) [PDF]
January 16, 2008

IIAC Response to IIROC Notice 08-0163 – Provisions Respecting Implementation of Trade-Through Protection [PDF]
January 9, 2008

IIAC Letter to IIROC and the CSA Regarding IIROC Notice 08-0163 – Provisions Respecting the Implementation of Trade-Through Protection [PDF]
January 9, 2008

IIAC Letter to CSA Regarding Proposed Amendments to NI 21-101 and NI 23-101 [PDF]
January 9, 2008

2007-12-28E IIAC Comments to DTC on Proposed Tender Offer Changes [PDF]
December 28, 2007

Ian Russell (IIAC) Presentation to NBCN – Down The Rabbit Hole [PDF]
December 28, 2007

IIAC Letter to BCSC Regarding Proposed Instrument 51-509 [PDF]
December 19, 2007

IIAC Letter to Standing Senate Committee on National Finance Regarding Income Funds and Client T3 and T5013 Income Trust Tax Reporting [PDF]
December 13, 2007

IIAC Comments on TSX Security Holder Approval Requirements for Acquisitions [PDF]
December 12, 2007

IIAC Submission to the CRA – The Taxing Truth [PDF]
November 21, 2007

IIAC Submission to Industry Canada – Investment in Canada’s Interest [PDF]
November 21, 2007

IIAC Letter to Market Regulation Services Regarding Market Integrity Notice 2007-017 – Provisions Respecting Short Sales and Failed Trades [PDF]
October 9, 2007

IIAC Letter to the Joint Forum Project Office Regarding Proposed Framework 81-406 – Point of Sale Disclosure for Mutual Funds and Segregated Funds [PDF]
October 5, 2007

IIAC Letter to DoF Regaring the Association’s Support of Updated Canadian Securities Transfer and Related Law [PDF]
September 17, 2007

IIAC Letter to SEC Regarding Free Trade in Securities [PDF]
September 10, 2007

IIAC Comments on Form 1042-S [PDF]

August 23, 2007

IIAC Letter to DoF Regarding Excessive and Unwanted Disclosure Material [PDF]
August 17, 2007

IIAC Letter to the CSA and MRS on the Joint Notice on Trade-Through Protection, Best Escenution and Access to Marketplaces [PDF]
July 19, 2007

IIAC Comments on IRS Draft W-8BEN and Instructions [PDF]
July 9, 2007

IIAC Letter to the IDA Expressing Concern Abut the Process By Which IDA Notices are Issued [PDF]
July 3, 2007

IIAC Letter to the CSA Regarding Proposed National Instrument 31-103 and Companion Policy 31-103 – Registration Requirements [PDF]

June 20, 2007

IIAC Letter to Finance on the Definition of Eligible Financial Contract [PDF]
June 8, 2007

IIAC Comments to BSC and AMF Regarding the Proposed National Instrument 11-102 and Companion Policy 11-102CP Passport System [PDF]
May 25, 2007

IIAC Comments on Proposed NI 11-102 and CP 102CP [PDF]
May 25, 2007

IIAC Comments to IOSCO on Market Intermediary Management of Conflicts That Arise in Securities Offerings [PDF]
May 18, 2007

IIAC Letter Requesting Changes to IDA Policy 11 [PDF]
May 7, 2007

IIAC Comments on Draft GST Legislation and Other Matters [PDF]
April 30, 2007

IIAC Letter to the OSC to Request to Address Inequitable Competitive Effect (Revised) [PDF]
April 23, 2007

IIAC Letter to DOF Regarding RRIF Transfers [PDF]
April 23, 2007

IIAC Letter to DoF Regarding the Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations [PDF]
April 12, 2007

IIAC Response Letter to CSAs Regarding NI 41-101 [PDF]
March 28, 2007

IIAC Letter to the OSC Regarding the Cost-Benefit Analysis for Client-Relationship Model (CRM) [PDF]
March 27, 2007

Ian Russell (IIAC) Presentation to Toronto Board of Trade – Small Is Beautiful [PDF]
March 7, 2007

IIAC Letter to DoF on Request for Amendment to Income Tax Regulations Related to Mark to Market Rules [PDF]
February 14, 2007

IIAC Letter to BCSC Regarding the Recognition of egX Canada as an Exchange [PDF]
February 13, 2007

IIAC Letter to the IDA Regarding the By-Laws 19 and 20 Reform Project [PDF]
February 8, 2007

IIAC Remarks on Proposed Regulations (REG-140206-06) [PDF]
February 6, 2007

IIAC Letter to Minister Flaherty on Advantage Canada [PDF]
January 23, 2007

IIAC Letter to the OSC Regarding the IDA Incorporation By-Law [PDF]
January 22, 2007

IIAC Data Elements Initiative [PDF]
January 8, 2007

IIAC Letter Regarding Unwanted Mail [PDF]
January 7, 2007

IIAC Letter to the OSC Regarding the Incorporation of Individuals [PDF]
December 20, 2006

2006-12-05E IIAC Letter to the IRS Regarding theCanadian KYC Attachment [PDF]
December 5, 2006

IIAC Letter to IDA Regarding the Rules of the Client Relationship Model (CRM)[PDF]
November 22, 2006

IIAC Response to MRS Regarding RS Market Integrity Notice 2006-20 – Provisions Respecting Competitive Marketplaces [PDF]
November 20, 2006

IIAC Comments to the OSC on Proposed National Instrument 23-102 [PDF]
October 30, 2006

IIAC Comments to Finance Regarding the Need to Prioritize the Updating od Securities Transfer and Related Laws [PDF]
October 18, 2006

IIAC Comments to the CSA on Debt-Markets Transparency, NIs 21-101 and 23-101 and Companion Policies 21-101CP and 23-101CP [PDF]
October 12, 2006

IIAC Comments to DOF Regarding the Eliminating of Double Taxation of Large Corporate Dividends[PDF]
September 26, 2006

IIAC Letter to Finance Regarding Proposed Legislation to Eliminate the Double Taxation of Large Corporate Dividends [PDF]
September 15, 2006

IIAC Letter to the OSC Regarding the Proposed Amendment to IDA By-Law 39[PDF]
August 24, 2006

IIAC Letter to the MEDT on the Financial Sector Strategy [PDF]
August 10, 2006

Joint Industry Association Submission to DoF Regarding Reporting of Canada Revenue Agency (CRA) Information Slips and Reporting to CDS[PDF]
July 25, 2006

IIAC Letter To Industry Canada on the Need to Amend the BIA and CCAA [PDF]
June 26, 2006

IDA Response to CSA National Instrument 24-101 – Institutional Trade Matching and Settlement [PDF]
May 9, 2006

IDA 2006 Federal Pre-Budget Recommendations [PDF]
April 19, 2006

IIAC Letter to the CRTC Regarding Do Not Call Framework [PDF]
March 27, 2006

IDA Submission to the National Assembly of Quebec Regarding Protection of Investors in Quebec [PDF]
January 2006

IDA Submission to the Minister of Finance Regarding Flow-Through Entities [PDF]
November 28, 2005

IDA Letter to Industry Canada Regarding RRSP Regulations Bill C-55 [PDF]
September 25, 2005

IDA Comments on the Draft Legislation Regarding the Deductibility of Interest and Other Expenses [PDF]
February 2, 2004

IDA Letter to the Ministry of Finance Regarding Transfers of RRIF Plans and the Requirement to Pay Out the Annual Minimum Amount [PDF]
January 10, 2003