Comment Letters for Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP

Comments Received (comment period due October 19, 2018 )

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Comment Letters
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Bentley Beck Document opens in new tab
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Alex Besharat (Scotia) Document opens in new tab
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James Doer Document opens in new tab
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Rob Strickland (Fidelity Investments Canada ULC) Document opens in new tab
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Wanda Morris and Laura Tamblyn-Watts (CARP) Document opens in new tab
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Norman Raschkowan (TenSquared Investments Inc.) Document opens in new tab
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Dustyn Lanz (Responsible Investment Association) Document opens in new tab
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Bill Packham (Aviso Wealth Inc.) Document opens in new tab
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Jessica Mitchell (Tri View Capital Ltd.) Document opens in new tab
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Matthew Gibson (Huxton Black) Document opens in new tab
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Shannon Sabey (Belay Wealth Inc.) Document opens in new tab
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Matt Churchill (Sheffar Potter Muchan Inc.) Document opens in new tab
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Mark Tiffin (Capital International Asset Management) Document opens in new tab
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Doug Guzman and Neil McLaughlin (RBC Dominion Securities Inc. et al.) Document opens in new tab
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Neville Joanes (WealthBar Financial Services Inc.) Document opens in new tab
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Cheryl Hamilton (HUB Capital Inc.) Document opens in new tab
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Barry S, McInerney (Mackenzie Financial Corporation) Document opens in new tab
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Reginald Alvares (Investment Planning Counsel Inc.) Document opens in new tab
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David Gilkes, Brian Koscak, Nadine Milne, Doug Bedard and Georgina Blanas (Private Capital Markets Association of Canada) Document opens in new tab
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Peter Moulson (Canadian Imperial Bank of Commerce) Document opens in new tab
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Paul Renaud (RESP Dealers Association of Canada and Children’s Education Funds Inc.) Document opens in new tab
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Tim Faught Document opens in new tab
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David W. Martin Document opens in new tab
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Margaret Gunawan (BlackRock Asset Management Canada Limited) Document opens in new tab
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Michael Bignell (Integral Wealth Securities Limited) Document opens in new tab
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Sheila A. Murray (CI Investments) Document opens in new tab
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Allison Haid Caughey (Children’s Education Funds Inc) Document opens in new tab
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Paul C. Bourque (IFIC) Document opens in new tab
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Eric Adelson (Invesco Canada Ltd.) Document opens in new tab
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Jeffrey R. Carney (Investors Group Inc.) Document opens in new tab
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Bernard Letendre and Rick Annaert (Manulife) Document opens in new tab
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Steven Mantle (LOGiQ Asset Management Ltd.) Document opens in new tab
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Earleen Moulton and Eric Wachtel (Board of Directors of the Canadian Association of Independent Life Brokerage Agencies) Document opens in new tab
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Michael G. Sheffar Document opens in new tab
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Rébecca Bleau et J. St-Amant (Coalition des associations de consommateurs) Document opens in new tab
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Nancy Allan (Independent Financial Brokers of Canada) Document opens in new tab
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Jason Jardine (Leede Jones Gable Inc.) Document opens in new tab
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Carl Mustos (iA Financial Group) Document opens in new tab
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Al Jones and G. Pollock (Advocis, The Financial Advisors Association of Canada) Document opens in new tab
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Michael Hodgson (Highstreet Asset Management Inc.) Document opens in new tab
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Tony Demarin and Dale Hawthorn (BCV Asset Management Inc.) Document opens in new tab
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Sandra L. Kegie (The Federation of Mutual Fund Dealers) Document opens in new tab
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Michael Stanley (Sterling Mutuals Inc.) Document opens in new tab
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Sean Etherington (Assante Wealth Management Ltd.) Document opens in new tab
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Brad Beuttenmiller (Franklin Templeton Investments Corp.) Document opens in new tab
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Sonny Goldstein (Goldstein Financial Investments Inc.) Document opens in new tab
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Chad M. Haaf (MacDougall Gauley LLP) Document opens in new tab
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Charles R. Sims (Cumberland Private Wealth Management Ltd.) Document opens in new tab
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Yvan-Pierre Grimard (Le Mouvement Desjardins) Document opens in new tab
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Robert Frances and Marc Doré (PEAK Financial Group) Document opens in new tab
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Collin Gordon (Kinsted Wealth) Document opens in new tab
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Veronica Armstrong (Veronica Armstrong Law Corp.) Document opens in new tab
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John A. W. Kearley (M3 Securities) Document opens in new tab
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Darin Renton, Supriya Kapoor, Ian Pember, Jason Chertin, Ron Kosonic, Sarah Gardiner, Norbert Knutel and Alex Bruvels (Alternative Investment Management Association) Document opens in new tab
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Link Plan Management Inc. Document opens in new tab
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Anita Anand (University of Toronto) Document opens in new tab
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François Bruneau (Groupe Cloutier Investissements Inc.) Document opens in new tab
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Michael Holder (Wealthsimple Inc.) Document opens in new tab
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Blair Cooper (Tradex Management Inc.) Document opens in new tab
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Alix d’Anglejan-Chatillon, Jeffrey Elliott, Nicholas Badeen and Ramandeep K. Grewal (Stikeman Elliott LLP) Document opens in new tab
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Ian Sterling (Doherty & Associates Ltd.) Document opens in new tab
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Osler, Hoskin & Harcourt LLP Document opens in new tab
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The Canadian Bankers Association Document opens in new tab
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Martin Gagnon (National Bank of Canada) Document opens in new tab
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Jacques Goulet (Sun Life Financial Canada) Document opens in new tab
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Katie Walmsley and Margaret Gunawan (The Portfolio Management Association of Canada) Document opens in new tab
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Donald I. Campbell (Canadian Compliance & Regulatory Law) Document opens in new tab
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John A. Adams (Primerica Financial Services (Canada) Ltd.) Document opens in new tab
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Todd Johnson Document opens in new tab
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Borden Ladner Gervais LLP Document opens in new tab
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Charyl Galpin, Joan Mohammed and Alexandra Dousmanis-Curtis (BMO Financial Group ) Document opens in new tab
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Art Ross Document opens in new tab
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Chris Ambridge (Provisus Wealth Management) Document opens in new tab
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Mark S. Kent (Portfolio Strategies Corporation) Document opens in new tab
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Lawrence J. Horowitz (Questrade, Inc.) Document opens in new tab
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Edward J. Waitzer, Darin R. Renton and John C.P. Henderson (Stikeman Elliott LLP) Document opens in new tab
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Canadian Foundation for Advancement of Investor Rights Document opens in new tab
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Canadian Independent Asset Management Document opens in new tab
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David A. MacNicol (MacNicol & Associates Asset Management Inc.) Document opens in new tab
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Matthew D. Turner (Guardian Capital Group Limited) Document opens in new tab
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John S. Clark (Pacific Spirit Investment Management Inc.) Document opens in new tab
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Keith Muchan Document opens in new tab
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Michel Boutin et Maxime Gauthier (Mérici Services Financiers Inc.) (French) Document opens in new tab
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Gerry Bettig (Antares Investment Management, Inc.) Document opens in new tab
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Dannielle H. MacDonald (Nicola Wealth Management Ltd.) Document opens in new tab
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Carole Matear (C.S.T. Consultants Inc.) Document opens in new tab
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Randy Cass and Alejandro Cuartas-Villada (Nest Wealth Management Inc.) Document opens in new tab
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Evan Mancer (Cardinal Capital Management, Inc.) Document opens in new tab
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Jason Pereira Document opens in new tab
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Timothy B. Potter Document opens in new tab
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Mark Adams (AGF Investments Inc.) Document opens in new tab
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Darrell Bartlett (Knowledge First Financial) Document opens in new tab
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Lisa D. Crossley (The National Society of Compliance Professionals) Document opens in new tab
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Noémie C. Girard (Universitas Management Inc.) Document opens in new tab
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Stéphanie Blanchette (Conseil des fonds d’investissment du Québec) Document opens in new tab
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Wayne Bolton (Edward Jones) Document opens in new tab
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Michael Nairne (Tacita Capital Inc.) Document opens in new tab
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Leo Salom (TD Wealth) Document opens in new tab
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Investment Industry Association of Canada Document opens in new tab
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Paul Schott Stevens (ICI Global) Document opens in new tab
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Gino Sebastian Savard (MICA Capital Inc.) Document opens in new tab
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Susanne Hopfner and Donna Wildeboer (Wealth Advance Investments) Document opens in new tab
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Richard Rizi (Worldsource Wealth Management Inc.) Document opens in new tab
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Manny DaSilva and Gary Legault (Canadian Association of Canadian Compliance Professionals) Document opens in new tab
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Marc Flynn (The Canadian Securities Institute) Document opens in new tab
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The Canadian Advocacy Council for Canadian CFA Institute Societies Document opens in new tab
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Chester R. Brothers Document opens in new tab
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Jacquie Skinner Document opens in new tab
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Stephen V. MacDonald (Blackburn Davis Financial) Document opens in new tab
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Dale Butler (Butler Financial) Document opens in new tab
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Adam Felesky (Portag3 Ventures) Document opens in new tab
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Scott Plaskett (IRONSHIELD Financial Planning Inc. and CANi Financial Planning Syndicate Inc.) Document opens in new tab
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Neil Gross (Investor Advisory Panel) Document opens in new tab
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Steve Doty (Independent Accountants' Investment Counsel) Document opens in new tab
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Jamie Graham (Insight Wealth and Peak Investment Services Inc.) Document opens in new tab
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Kelley Doerksen Document opens in new tab
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John Davis (Blackburn Davis Financial Inc.) Document opens in new tab
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Timothy Paziuk (TPC Financial Group Ltd.) Document opens in new tab
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Jeff Schreiter Document opens in new tab
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Kendall and Deborah Bingeman Document opens in new tab
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D. & S. Reid Document opens in new tab
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Bruce Foster (Foster Agency) Document opens in new tab
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David C. C. Lister Document opens in new tab
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Derek Moran (The Institute of Advanced Financial Planners) Document opens in new tab
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W. Templeman Document opens in new tab
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Rob Mitchell (Dixon Mitchell Investment Counsel Inc.) Document opens in new tab
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Chad Viminitz Document opens in new tab
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Melanie D. Twietmeyer and Jeff Wachman (The Institute of Advanced Financial Planners) Document opens in new tab
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William J. Henderson Document opens in new tab
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Kevin Brugger (Brugger Wealth Management) Document opens in new tab
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Timothy Logan (Logan Wealth Management) Document opens in new tab
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Brent Wolverton Document opens in new tab
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Jamie Robb (Fiducia Wealth Management) Document opens in new tab
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Ken Rousselle (Farm Business Consultants and FBC Financial & Estate Planning Services Inc.) Document opens in new tab
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Ken Kivenko (Kenmar Associates) Document opens in new tab