Regulatory Instrument Details

Securities Law and Policy

33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward their Clients [Consultation Paper]

33-404
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Proposed Amendments Related to 33-404

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Related (0) Historic (0)
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News Releases Related to 33-404

Title
Date
Canadian Securities Regulators Release Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives
Dec 15, 2016
ASC announces date for open session on proposed reforms to enhance the client-registrant relationship
Nov 03, 2016
Canadian Securities Regulators Announce Roundtables to Discuss Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients
Sep 22, 2016
Canadian securities regulators seek comment on proposals to enhance the obligations of advisers, dealers and representatives toward their clients
Apr 28, 2016