Financial and Consumer Affairs Authority of Saskatchewan

FCAA is Saskatchewan’s financial and consumer marketplace regulator.

31-336 – Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations (National Notice)

  • 31-336 – Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations (National Notice)

    • CSA Staff Notice 31-336

      Effective Date:  January 9, 2014

      Provides Guidance for portfolio managers, exempt market dealers and other registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations.

      31_336_csa_staff_notice_january_9_2013_docx.pdf

Agree Term