DOCUMENTS

SIPA maintains documents on file for reference by members and consumer/investors. Most of these documents are public documents and available from various sources. Some of the documents may be from SIPA's files and may be sanitized to remove client names and account information to protect the identity of individual investors.

The following is a partial list of documents in this section of the SIPA library.

Bogus Bond Program - OSC warning, April 2000

CCSI - Letter to Political Leaders - January 9, 2006

CCSI - Press Release - January 9, 2006

CCSI - Report - January 9, 2006

CCSI submission to the Expert Panel on Securities Regulation -  June 2, 2008

FAIR - A Decade of Scandals - February 18, 2011

Fraudsters - OSC charges Patrick Joseph Kinlin - July 2000

Giving Small Investors a Fair Chance - CARP/SIPA Report - September 2004

Investment Funds in Canada and Consumer Protection - Stromberg - October 1998

Mortgage Investments Consumer Advisory - FSCO - April, 1999

OSC Fair Dealing Model submission - Dr. Pamela Reeve - August 2004

OSC Town Hall Event Toronto - Transcript - May 31, 2005

OSC 81-107 submission - Glorianne Stromberg - April 2004

Penny Stock Dealers - Frydrych Settlement Agreement - OSC, July 10, 1997

RCMP Commissioner Zaccardelli's SRO Speech - January 2005

RRSP scam warning - OSC - November 19, 1999

SIPA Five Year Report - "the Small Investors' Perspective of Investor Protection in Canada" - February 27, 2004

SIPA Open Letter to Ontario MLAs - "Bill 14 Access to Justice" - September 2006

SIPA Special Report - "Investor protection 2009" - January 2010

SIPA submission to Alberta Finance and Enterprise - "Incorporation of Individual Representatives" - February 18, 2011

SIPA submission to Expert Panel on Securities Regulation - "Because They Can" - May 3, 2010

SIPA submission to House of Commons Finance Committee -  January, 2007

SIPA submission to Investment Industry Regulator of Canada - "Comments on Client Relationship Model (CRM)" - Feb 28, 2011

SIPA submission to Joint Forum - "Comments & Recommendations Joint Forum 2005/2008 Strategic Plan" - January 17, 2005

SIPA submission to Minister of Finance Orrawa - "Failure of Current Regulatory System to Protect Investors" - Feb 25, 2010

SIPA submission to Minister of Justice and Attorney General of Canada - "White Collar Crime" - May 3, 2010

SIPA submission to Ontario Committee on Finance and Economic Affairs - "Five Year Review of the Securities Act" - August 11, 2004

SIPA submission to Ontario Justice Committee - "Limitation Periods vs Access to Justice" - May 4, 2006

SIPA submission to Ontario Securities Commission - "Comments on Statement of Priorities to 2012" - Apr 26, 2011

SIPA submission to Ontario Securities Commission - "Comments on Statement of Priorities to 2011" - Feb 14, 2010

SIPA submission to Ontario Securities Commission - "Point of Sale Disclosure for Mutual Funds" - November 19, 2008

SIPA submission to Senate Standing Committee on Banking Trade and Commerce - "It's a Matter of Trust" - February 14, 2005

SIPA submission to Task Force on Financial Literacy - "Financial Literacy" - April 29, 2007

TAMRIS submission to Investment Industry Regulator of Canada - "IIROC CRM Project" - Feb 28, 2011