Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions [CSA Notice 31-349] Read more about Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions [CSA Notice 31-349]
The Requirement for True and Complete Applications for Registration [CSA Notice 33-320] Read more about The Requirement for True and Complete Applications for Registration [CSA Notice 33-320]
Guidance on Small Firms Compliance and Regulatory Obligations [CSA Notice 31-350] Read more about Guidance on Small Firms Compliance and Regulatory Obligations [CSA Notice 31-350]
Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients [CSA Notice 33-319] Read more about Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients [CSA Notice 33-319]
OBSI Joint Regulators Committee Annual Report for 2016 [CSA Notice 31-348] Read more about OBSI Joint Regulators Committee Annual Report for 2016 [CSA Notice 31-348]
Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives [CSA Notice 33-318] Read more about Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives [CSA Notice 33-318]
Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members [CSA Notice 31-347] Read more about Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members [CSA Notice 31-347]
Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers [CSA Notice 31-346] Read more about Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers [CSA Notice 31-346]
Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients [Consultation Paper] Read more about Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients [Consultation Paper]
Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance [CSA Notice] Read more about Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance [CSA Notice]
