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Incorporation of Sales Representatives of Registered Dealers and Advisers
Summary of Consultation Responses
In December 2010, a working group of provincial/territorial government officials (working group) issued a consultation paper to seek feedback on possible options for the incorporation of individual sales representatives of registered dealers and advisers. The comment period closed February 25, 2011.
The working group received 63 written responses and has completed a summary of those consultation written responses. The working group’s summary also includes recommendations for next steps regarding the incorporation project.
- Click here for the summary of written responses.
The French language version of this summary can be found on the Québec Finance website.
The working group was very pleased with the significant feedback received on the incorporation consultation paper. The working group would also like to thank commenters for their written consultation submissions.
Consultation Paper
- Click here for the consultation paper (posted December 20, 2010).
Comment Letters Received
Written comment letters received during the comment period are posted below. Written comment letters received in French (*) are posted on the Québec Finance website.
| Comment Author | pdf |
Date mm/dd/yy |
| Gordon Newel, Eric Willerth, Raymond DeVetten and Brad (David) Hinds | 03/02/11 |
|
| Rebecca Cowdery and Marsha Gerhart (Borden Ladner Gervais LLP) | 03/01/11 |
|
| Fair Canada (Ermanno Pascutto) | 02/25/11 |
|
| Ermanno Pascutto and Ilana Singer (FAIR Canada - Canadian Foundation for Advancement of Investor Rights) | 02/25/11 |
|
| Rogers Group Financial (Clay Gillespie) | 02/25/11 |
|
| Bill Cormlyo | 02/25/11 |
|
| Association of Canadian Compliance Professionals (Sandra Kegie) | 02/25/11 |
|
| Edward P. Turgeon | 02/25/11 |
|
| RESP Dealers Association of Canada (Paul Renaud / James Deeks | 02/25/11 |
|
| Keith Butler, Ron Beer, Jeff Burt, Doug Chafe, Gary Concoran, Dean Cormier, Fred Dodd, David Kelly, Roger Power, William Small, Mark Stokes, John Wood | 02/25/11 |
|
| Portland Investment Counsel Inc. / Portland Private Wealth Services Inc. (Frank Laferriere / Victoria Ringleberg) | 02/25/11 |
|
Corey Johnson (Manitoba District Council advisory committee) |
02/25/11 |
|
| Ocean Securities Inc. (Robinson Manson) | 02/25/11 |
|
| IIROC (Rosemary Chan) | 02/25/11 |
|
| Investors Group Financial Services Inc. (Kevin Regan) | 02/25/11 |
|
| Independent Financial Brokers of Canada (John Whaley) | 02/25/11 |
|
| Edward Kynock | 02/25/11 |
|
| The Investment Funds Institute of Canada (Joanne De Laurentiis) | 02/25/11 |
|
| Advocis (Greg Pollock / Robert McCullagh) - includes Appendix | 02/25/11 |
|
| Hampton Securities Inc. (Bill Packham) | 02/25/11 |
|
| Nicholas Grady (Assante Capital Management Ltd.) | 02/25/11 |
|
| MGI Financial Inc. (David Velanoff) | 02/25/11 |
|
| The Canadian Life and Health Insurance Association (James Wood) | 02/25/11 |
|
| The Federation of Mutual Fund Dealers (Sandra Kegie) | 02/25/11 |
|
| J. Herb McFaull | 02/24/11 |
|
| Sheila Leonard | 02/24/11 |
|
| Larry Jensen | 02/24/11 |
|
| Jamie Powell | 02/24/11 |
|
| Manulife Securities (Rick Annaert) | 02/24/11 |
|
| Raymond James Ltd. (Paul Allison) | 02/24/11 |
|
| Wayne MacDonald | 02/24/11 |
|
| Canaccord Genuity Corp. (Paul Reynolds) | 02/23/11 |
|
| The Canadian Institute of Financial Planners (Keith Costello) | 02/23/11 |
|
| C.P. Theriault | 02/23/11 |
|
| Anthony Supron | 02/23/11 |
|
| Nerio D’Ambrosi | 02/23/11 |
|
Corey Kudrowich |
02/22/11 |
|
Jeff Keller |
02/22/11 |
|
Mark Ketler |
02/22/11 |
|
David Nobrega |
02/22/11 |
|
Robert Lewis |
02/21/11 |
|
Québec Association of Independent Personal Financial Advisors (Raymond Pratte/Jean-Paul Jalbert) * |
02/21/11 |
|
Small Investor Protection Association (Stan Buell) |
02/18/11 |
|
| National Bank Financial Group (Brian Davis) | 02/16/11 |
|
| Farouk Haji | 02/15/11 |
|
Carlo Massicolli * |
02/11 |
|
Robert Bélanger * |
02/11 |
|
Weigh House (Warren MacKenzie) |
02/15/11 |
|
02/15/11 |
||
Roger Leger |
02/14/11 |
|
02/10/11 |
||
David Andrews |
02/10/11 |
|
Services financiers Mérici (Michel Boutin) * |
02/08/11 |
|
02/03/11 |
||
01/25/11 |
||
01/17/11 |
||
01/14/11 |
||
12/28/10 |
||
Stéphane Dufour * |
12/27/10 |
|
Dany Bergeron * |
12/27/10 |
|
Jean-François G Labbé * |
12/23/10 |
