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_102_ni_june30_2010.pdf
• Amendments to National Instrument 23-102

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

  23_102_ni_october_6_2016.pdf
• Companion Policy 23-102CP

  Effective Date: June 30, 2010.

  23_102_cp_june30_2010.pdf