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Submissions

2013

Apr 12, 2013

Advocis responds to CSA Discussion Paper and Request for Comment Regarding Mutual Fund Fees.

Feb 20, 2013

Advocis responds to CSA Consultation Paper 33-403 discussing the implementation of a best interests duty of care on advisors.

2012

Oct. 19, 2012

Unclaimed Intangible Property Program Consultation

Sep. 14, 2012

Notice And Request For Comment On Proposed Amendments To National Instrument 31-103 Registration Requirements and Exemptions And To Companion Policy 31-103CP Registration Requirements and Exemptions – Cost Disclosure And Performance Reporting  

Jun. 30, 2012

Submission to the CCIR on Managing General Agencies (MGAs) Distribution Channel in the Life Insurance Industry

Apr. 27, 2012

Submission to CCIR regarding Electronic Commerce in Insurance

Feb. 29, 2012

Advocis response to CSA Staff Consultation Note 45-401 Review of Minimum Amount and Accredited Investor Exemptions

2011

Sep. 7, 2011

Advocis response to Fighting Internet and Wireless Spam Act

Jul. 25, 2011

Advocis response to OBSI Consultation Paper on its Suitability and Assessment Process

Apr. 12, 2011

Advocis comments regarding Negative Option Billing Regulations

Apr. 8, 2011

Advocis response to CCIR Issues Paper: Managing General Agencies Life Insurance Distribution

Feb. 25, 2011

Response to Consultation on Possible Options for the Incorporation of Individual Representatives of Registered Dealers and Advisers in Canada

Jan. 20, 2011

Response to Insurance Council of Manitoba's Consultation on the Regulation of Incidental Selling of Insurance

2010

May 4, 2010

Submission to the Task Force on Financial Literacy in response to their consultation Leveraging Excellence: Charting a course of action to strengthen financial literacy in Canada

Mar. 18, 2010

Advocis has provided the Canadian Securities Transition Office (CSTO) with input as they proceed in drafting legislation.

2009

Oct. 1, 2009

Submission to Alberta Finance and Enterprise regarding Consultation on Proposed Regulations for the Amended Insurance Act
Sent to: Mr. Dennis Gartner, Superintendent of Insurance, Financial Institutions and Pensions

Sep. 17, 2009

Submission regarding the Mutual Fund Dealers Association of Canada’s Proposed Amendments to MFDA Rule 2.4.1 Payment of Commissions to Unregistered Corporation
Sent to: Jason Bennett, Corporate Secretary, Mutual Fund Dealers Association of Canada.

Jul. 23, 2009

Submission to Mutual Fund Dealers Association of Canada regarding Proposed Amendments to MFDA Rule 2.2 (Client Accounts), Policy No.2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications), and Rule 5.3 (Client Reporting), (collectively, the CRM Rules)
Sent to: Jason Barrett, Corporate Secretary and Director, Regional Councils

Mar. 23, 2009

Submission regarding Intermediary Regulation Committee Consultation Session
Sent to: Jim Hall, Chair, Joint Forum Intermediary Regulation Committee

2008

Sep. 29, 2008

Advocis' submission on Joint Notice and Request for Comment of Certain Recognizing Regulators of the Mutual Fund Dealers Association of Canada - Application to Amend Recognition Order: Suspension of MFDA Rule 2.4.1
Sent to: Sarah Corrigall-Brown, British Columbia Securities Commission

Sep. 11, 2008

Advocis’ submission on MFDA Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision
Submitted to: Mr. Gregory J. Ljubic, Corporate Secretary, Mutual Fund Dealers Association of Canada

Sep. 8, 2008

Advocis' submission to the Investment Industry Regulatory Organization of Canada (IIROC) regarding the Proposed Financial Planning Rule.
Submitted to: Mr. Brendan Hart, Policy Counsel

Jul. 15, 2008

Advocis' submission regarding Creating an Advantage in Global Capital Markets
Submitted to: Mr. David Murchison, Executive Director, Expert Panel on Securities Regulation

What they're saying

I fully support this initiative by Advocis. It's about time financial advice was treated as a profession.  
D. Keith Pike
London, Ontario
I wholeheartedly support the aims and objectives of Advocis's proposal.  
Louis Eb Bang
Ottawa, Ontario
I support a higher standard for financial advisors and creating greater public confidence in our
industry.   
Kristopher A. Cameron
Calgary, Alberta
This is long overdue. Kudos to Advocis for taking the initiative on this matter.
Richard Bradford
Red Deer, Alberta
I support all the work Advocis is doing to help us. Keep up the good work and let's continue to give professional advice to our clients in an unbiased
way.   
Reg Hart
Miramichi, New Brunswick

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