Extension of comment period on enhancement of obligations toward clients


The Canadian Securities Administrators (CSA) is extending, until September 30, 2016, the comment period for Consultation Paper 33-404 (pdf - 665 KB)This link will open in a new windowUpdated on April 28, 2016Obligations of Advisers, Dealers, and Representatives toward their Clients Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients, which outlines regulatory action to improve the relationship between registrants and clients.

This consultation paper reflects extensive research and outreach by CSA Staff and specific CSA jurisdictions as well as a review of international developments regarding the client-registrant relationship.

Later this fall, the CSA will invite market stakeholders to take part in round tables to discuss the issues raised in the written submissions received.