Advocacy

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 120 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.

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Implementation Toolkits CASL Map CASL Primer Toolkit CRM2

IIAC Response to Amendments to Article 4002 of the Rules of Bourse de Montreal Inc. Regarding Non-Compliance Reporting [PDF]
June 21, 2018

IIAC Response re: CSA Staff Notice 61-303 and Request for Comment – Soliciting Dealer Arrangements [PDF]
June 11, 2018

IIAC provides comments on OBSI’s Terms of Reference Renewal Project [PDF]
May 31, 2018

IIAC Response re IIROC’s Enforcement Alternative Forms of Disciplinary Action Proposal [PDF]
May 23, 2018

IIAC Comments on IIROCs Proposed Amendments Respecting Mandatory Reporting of Cybersecurity Incidents [PDF]
May 22, 2018

IIAC Submission on Department of Finance AML and ATF Regime Discussion Paper [PDF]
May 18, 2018

Testimony before the House of Commons Standing Committee on Finance on Bill C-74, the Budget Implementation Act, 2018 [PDF]
May 1, 2018

IIAC Response to Ontario Government Regulation of Financial Planners Consultation Paper [PDF]
April 16, 2018

IIAC Letter to the U.S. Treasury and IRS re: Section 871(m) Regulations [PDF]
April 16, 2018

IIAC Comments on BCSC’s Consultation Paper, Securities Law Framework for FinTech Regulation [PDF]
April 3, 2018

Testimony before the House of Commons Standing Committee on Finance on the Statutory Review of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act [PDF]
March 27, 2018

IIAC Submission to IIROC re Proficiency Requirements for Research Supervision [PDF]
March 16, 2018

IIAC Letter to IRS re Responsible Officer Certification Requirements [PDF]
March 16, 2018

IIAC Submission to IIROC on Proposed Dealer Member Plain Language Rule Book – Proposed Amendments [PDF]
March 5, 2018

IIAC Submission to IIROC on Continuing Education Rules – Proposed Amendments [PDF]
February 26, 2018

IIAC Supports Amendments to IIROC Minimum Dealer Regulation Fee [PDF]
February 2, 2018

IIAC Response to the Draft OECD Mandatory Disclosure Rules for Addressing CRS Avoidance Arrangements and Offshore Structures [PDF]
January 15, 2018

IIAC Letter to IRS and US Treasury Calling for an Extension of Notice 2010-46 and the Qualified Securities Lender Regime [PDF]
November 30, 2017

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

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