Regulatory Instrument Details
31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations [CSA Notice]
31-336
Number
Title
Regulatory Instrument Type
Date Type
Date
31-336
Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations
Published - CSA Notice - 01/09/2014
CSA Notice
Published
01/09/2014
Proposed Amendments Related to 31-336
No documents found
Number
Title
Regulatory Instrument Type
Status
Date
11-348
Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets
Published - CSA Notice - 12/05/2024
CSA Notice
Published
12/05/2024
No documents found
News Releases Related to 31-336
Title
Date