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

Agree Term