Submissions archive

September 19, 2012

Comment Letter for CSA Consultation Paper 25-401: Potential Regulation of Proxy Advisory Firms

The Portfolio Management Association of Canada (“PMAC”, formerly the Investment Counsel Association of Canada (“ICAC”)), through its Industry, Regulation and Tax Committee, is pleased to have the opportunity to submit the following general comments regarding CSA Consultation Paper 25-401: Potential Regulation of Proxy … Continue reading

September 11, 2012

PMAC First Annual Compliance Forum – September 11, 2012

Compliance Basics – Part 1:  The Client Lifecycle Read presentations Compliance Basics – Part 2:  The Firm Read presentations Registration Requirements for Firms and Individuals – Jason Chertin Registrant Compliance:   The New Normal – Being Review Ready Read presentations … Continue reading

August 29, 2012

PMAC & Ashland GIPS – 2012 Critical Updates Workshop

Read presentation Read presentation Handbook Updates

August 29, 2012

Follow-Up Letter to Department of Finance on Prohibited Investment Rules

Following our letters of December 13, 2011 and March 8, 2012 and past discussions with the Department of Finance staff where we discussed our concerns with the ”prohibited investment” rules (the “Rules”) under Part X1.01 of the Income Tax Act, … Continue reading

July 10, 2012

Follow-Up Letter to Ontario Securities Commission (OSC) New Procedure of Calling Investors

The Ontario Securities Commission (OSC) announced in June 2012 that it will be conducting a targeted review (sweep) of a sample of registered dealers and advisers to assess their compliance with know-your-client (KYC), know-your-product (KYP) and suitability obligations. The OSC … Continue reading

June 28, 2012

Update on Canada’s Anti-Spam Legislation (CASL)

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May 29, 2012

Anti-Money Laundering Compliance – Training your Employees

Read presentation – English Read presentation – French

April 5, 2012

Follow-Up Letter to Department of Finance on Designated Stock Exchanges Expansion

We are following up on our meeting of October 27, 2011 in which we discussed the Portfolio Management Association of Canada’s (“PMAC”) recommendation to expand the Designated Stock Exchange list. Read letter

February 19, 2012

Comment Letter for CSA Consultation on Mandating OBSI

The purpose of this program is to facilitate dispute resolution services for PMAC member companies (PMAC Members) and their clients. This service is designed to comply with the requirement in NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI … Continue reading

December 12, 2011

Best Practices in Client Communications

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December 6, 2011

SEC Notice — Large Trader Reporting Rules

Presenter:  Jane Kanter, Partner, Dechert LLP Audio [soundcloud url=”” params=”show_comments=true&auto_play=false&color=ff7700″ width=”100%” height=”81″ ]    

November 22, 2011

2011 AGM: Changing Landscapes

Formal Presentation

November 22, 2011

2011 AGM: Changing Landscapes

Formal presentation Eric Lascelles Brian Lilley

June 28, 2011

NI 31-103 Regulatory Update

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May 2, 2011

Starting A Pooled Fund

Presenters: Pierre-Yves Chatillon Dennis MacPherson Joe Banwait Don McDonald Audio Part 1: [soundcloud url=”” params=”auto_play=false&hide_related=false&show_comments=true&show_user=true&show_reposts=false&visual=true” width=”100%” height=”450″ iframe=”true” /] Audio Part 2: [soundcloud url=”” params=”color=ff5500&auto_play=false&hide_related=false&show_comments=true&show_user=true&show_reposts=false” width=”100%” height=”166″ iframe=”true” /]  

April 12, 2011

Power of Attorney & Fiduciary Duty Challenges, April 12, 2011

Presenter: Barry Fish