Regulatory Instrument Details

Securities Law & Policy

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

33-404
Number
Title
Regulatory Instrument Type
Date Type
Date
33-404
Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward their Clients (includes links to comment letters)
Published - Consultation Paper - 04/28/2016
Consultation Paper
Published
04/28/2016

Proposed Amendments Related to 33-404

No documents found
Related (3) Historic (0)
Number
Title
Regulatory Instrument Type
Status
Date
33-319
Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients
Published - CSA Notice - 05/11/2017
CSA Notice
Published
05/11/2017
11-331
Extension of Consultation Period - Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers and Representatives toward their Clients
Published - CSA Notice - 07/25/2016
CSA Notice
Published
07/25/2016
33-317
Next Steps in the CSA’s Work to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients
Published - CSA Notice - 03/31/2016
CSA Notice
Published
03/31/2016
No documents found

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