Financial and Consumer Affairs Authority of Saskatchewan

FCAA is Saskatchewan’s financial and consumer marketplace regulator.

23-102 – Use of Client Brokerage Commissions (National Instrument)

  • 23-102 – Use of Client Brokerage Commissions (National Instrument)

    • Use of Client Brokerage Commissions

      Effective Date: June 30, 2010.

      Sets out requirements pertaining to brokerage transactions involving client brokerage commissions that are directed to a dealer in return for the provision of order execution goods and services or research goods and services.

      23_102ni_june30_2010.pdf
    • Amendments to NI 23-102

      Effective Date:  February 1, 2017.  In Saskatchewan:  February 8, 2017.

      23_102_ni_annex_d_amendments_october_6_2016.pdf
    • Companion Policy 23-102CP

      Effective Date: June 30, 2010.

      23_102cp_june30_2010.pdf

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