Enhancing the professionalism of financial advisors in the best interests of the consumer

Submissions 2009


Advocis is actively working on behalf of its members and their clients within the financial services industry and at all levels of government.

This section includes Advocis' submissions to governments and regulators.

Dec. 17, 2009 Submission regarding Incorporation of Registered Salespersons
Sent to: The Honourable Dwight Duncan, Ontario Minister of Finance
Dec. 14, 2009 Letter regarding Improving Canada’s Retirement Income System
Sent to: The Honourable Iris Evans, Alberta Minister of Finance and Enterprise
Dec. 9, 2009 Letter regarding Improving Canada’s Retirement Income System
Sent to: The Honourable Jim Flaherty, Minister of Finance
Dec. 7, 2009 Letter regarding Improving Canada’s Retirement Income System
Sent to: The Honorable Dwight Duncan, Ontario Minister of Finance
Dec. 7, 2009 Letter regarding Improving Canada’s Retirement Income System
Sent to: The Honorable Colin Hansen, BC Minister of Finance
Nov. 11, 2009 Letter regarding Insurance Business (Bank & Bank Holding Companies) Regulation
Sent to: Jane Pearse, Director Financial Institutions Division, Department of Finance Canada
Oct. 16, 2009 Submission regarding CSA NOTICE 81-318 - Request for Comment Regarding Framework 81-406 Point of sale disclosure for mutual funds.
Sent to: the Canadian Securities Administrators
Oct. 6, 2009 Submission regarding Telecom Information Bulletin CRTC 2009-282
Sent to: The Hon. K. von Finckenstein, Q.C., Chairman, Canadian Radio-television and Telecommunications Commission
Oct. 2, 2009 Submission regarding Bill 6 Insurance Amendment Act 2009
Sent to: The Honourable Colin Hansen, BC Minister of Finance
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.
Sep. 9, 2009 Letter re. Alberta’s Credit Union Act & TILMA
Sent to: The Honourable Ron Stevens, Deputy Premier and Minister of International and Intergovernmental Relations
Sep. 8, 2009 Submission regarding the Consultation on Unlocking Pension Funds
Sent to: Mr. Julian McCarthy, Deputy Superintendent of Pensions, Newfoundland and Labrador Department of Government Services
Aug. 28, 2009 Letter regarding the Regulation of the Incidental Sale of Insurance
Sent to: Mr. John Waugh, Insurance Councils of Saskatchewan and Elaine Thompson, Superintendent of Insurance, Saskatchewan Financial Services Commission
Aug. 14, 2009 Submission regarding Bill C-27, The Electronic Protection Act
Appendix: Appendix A & B to Advocis Brief
Sent to: Ms. Michelle Tittley, Clerk of the Standing Committee on Industry, Science and Technology
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
Jun. 1, 2009 Submission regarding Ontario Securities Commission 2009-2010 Statement of Priorities
Sent to: Robert Day, Manager Business Planning, Ontario Securities Commission
May 25, 2009 Letter to regarding Reform of Pensions in Saskatchewan
Sent to: The Honourable Don Morgan, Saskatchewan Minister of Justice and Attorney General
May 21, 2009 Submission regarding FSCO Statement of Priorities
Sent to: Dr. Bob Christie Ontario Superintendent of Financial Services
May 12, 2009 Submission regarding its Review of the Amendments to the Credit Union Act, 1998
Submitted to: the Inter-Governmental Affairs and Justice Committee of the Legislative Assembly of Saskatchewan
May 7, 2009 Letter regarding Bill 20, Civil Enforcement Amendment Act, 2009
Sent to: the Honourable Alison Redford, Alberta Minister of Justice and Attorney General
May 6, 2009 Letter regarding Bill 11: Act Respecting Credit Unions
Sent to: the Honourable Kevin O’Brien, Newfoundland and Labrador Minister of Government Services
Apr. 30, 2009 Letter regarding the Registered Deposit Brokers Association (RDBA) (A similar letter was submitted to provincial ministers responsible for financial institutions)
Sent to: the Honourable Jim Flaherty
Apr. 24, 2009 Letter regarding Advocis Response to the OSC Statement to the Standing Committee on Government Agencies
Sent to: Douglas Arnott, Clerk, Standing Committee on Government Agencies
Apr. 16, 2009 Letter regarding Life Insurance Replacement Disclosure Requirements
Sent to: the Honourable Dwight Duncan, Ontario Minister of Finance
Apr. 8, 2009 Submission regarding Pension Reforms and the Expert Commission on Pensions Report
Sent to: The Honourable Dwight Duncan, Ontario Minister of Finance
Apr. 7, 2009 Submission regarding Advisor Incorporation
Sent to: Mr. Jean St-Gelais, Chair, Canadian Securities Administrators
Apr. 2, 2009 Submission regarding Regulation of Incidental Sale of Insurance
Sent to: The Honourable Don Morgan, Saskatchewan Minister of Justice and Attorney General
Mar. 26, 2009 Submission regarding Regulation of the Incidental Sale of Insurance
(“ISI”)

Sent to: Erin Pearson, Executive Director, Insurance Council of Manitoba
Mar. 24, 2009 Submission regarding Proposed Ontario Regulation to be made under the Credit Unions and Caisses Populaires Act, 1994
Sent to: Luba Mycak, Senior Manager, Industrial & Financial Policy Branch, Ministry of Finance
Mar. 23, 2009 Submission regarding Intermediary Regulation Committee Consultation Session
Sent to: Jim Hall, Chair, Joint Forum Intermediary Regulation Committee
Mar. 23, 2009 Submission regarding Reform of Pension Standards Legislation in British Columbia
Sent to Joann Cain Director, Pension Standards Review, BC Ministry of Finance
Mar. 23, 2009 Submission regarding GST – PST Harmonization
Sent to The Honourable Dwight Duncan, Ontario Minister of Finance and Chair of the Management Board of Cabinet
Feb. 23, 2009 Submission to the Standing Committee on Government Agencies of the Legislative Assembly of Ontario regarding its Review of the Ontario Securities Commission
Feb. 20. 2009 Submission to Ms. Paige Ward, Director of Policy and Regulatory Affairs regarding Principal Protected Notes.
Jan. 19, 2009 Submission regarding the Joint Forum Strategic Plan 2009-2012
Sent to: Dr. Bob Christie, Chair, Joint Forum of Financial Market Regulators
Jan. 16, 2009 2009 Ontario Pre-Budget Submission to the Legislative Assembly of Ontario Standing Committee on Finance and Economic Affairs