23-102 - Use of Client Brokerage - Securities | AMF

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Regulation 23-102 respecting Use of Client Brokerage (chapter V-1.1, r. 7)

Regulation 23-102 (pdf - 42 KB)This link will open in a new windowUpdated on 19 April 2017
In force since June 30, 2010
Policy Statement to Regulation 23-102 (pdf - 271 KB)This link will open in a new windowUpdated on 30 June 2010
In force since June 30, 2010

Notice relating to Regulation 23-102

CSA Staff Notice

CSA Staff Notice 11-328: Notice of Local Amendments in Alberta and the Adoption of Multilateral Amendments in Yukon (pdf - 68 KB)This link will open in a new windowUpdated on 12 March 2015
CSA Staff Notice 23-320: Consideration of the Markets in Financial Instruments Directive (MiFID II) Unbundling Requirements on the Regulatory Requirements in Canada (pdf - 52 KB)This link will open in a new windowUpdated on 14 December 2017

Notice of publication

Notice of publication : Regulation 23-102 respecting Use of Client Brokerage Commissions and Policy Statement to Regulation 23-102 respecting Use of Client Brokerage Commissions (pdf - 3 MB)This link will open in a new windowUpdated on 9 October 2009

History relating to Regulation 23-102

Date of publication in the Bulletin	Text
February 19, 2010	Regulation 23-102 respecting Use of Client Brokerage Commissions (pdf - 2 MB)This link will open in a new windowUpdated on 24 February 2010 In force on June 30, 2010
February 19, 2010	Policy Statement to Regulation 23-102 respecting Use of Client Brokerage Commissions (pdf - 2 MB)This link will open in a new windowUpdated on 24 February 2010 In force on June 30, 2010
October 9, 2009	Regulation 23-102 respecting Use of Client Brokerage Commissions (pdf - 3 MB)This link will open in a new windowUpdated on 25 November 2009
October 9, 2009	Policy Statement to Regulation 23-102 respecting Use of Client Brokerage Commissions (pdf - 3 MB)This link will open in a new windowUpdated on 25 November 2009
October 9, 2009	Notice of Publication: Regulation 23-102 respecting Use of Client Brokerage Commissions and Policy Statement to Regulation 23-102 respecting Use of Client Brokerage Commissions (pdf - 3 MB)This link will open in a new windowUpdated on 9 October 2009
January 11, 2008	Draft Regulation 23-102 respecting Use of Client Brokerage Commissions as Payement for Order Execution Services or Research Services (pdf - 4 MB)This link will open in a new windowUpdated on 25 November 2009
January 11, 2008	Draft Policy Statement to Regulation 23-102 respecting Use of Client Brokerage Commissions as Payement for Order Execution Services or Research Services (pdf - 4 MB)This link will open in a new windowUpdated on 25 November 2009
January 11, 2008	Notice of Draft Regulation 23-102 respecting Use of Client Brokerage Commissions as Payement for Order Execution Services or Research Services and Policy Statement to Regulation 23-102 respecting Use of Client Brokerage Commissions as Payement for Order Execution Services or Research Services (pdf - 4 MB)This link will open in a new windowUpdated on 25 November 2009
July 21, 2006	Draft Regulation 23-102 respecting Use of Client Brokerage Commissions as Payement for Order Execution Services or Research Services (pdf - 290 KB)This link will open in a new windowUpdated on 25 November 2009 ("soft dollars" arrangements)
July 21, 2006	Draft Policy Statement to Regulation 23-102 respecting Use of Client Brokerage Commissions as Payement for Order Execution Services or Research Services (pdf - 300 KB)This link will open in a new windowUpdated on 25 November 2009 ("soft dollar" arrangements)
July 21, 2006	Notice of Draft Regulation 23-102 respecting Use of Client Brokerage Commissions as Payement for Order Execution Services or Research Services (pdf - 897 KB)This link will open in a new windowUpdated on 25 November 2009 ("soft dollar" arrangements)

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