FCAA is Saskatchewan’s financial and consumer marketplace regulator.
Home > Securities Industry Participants > Securities Laws > Regulatory Instruments > Part 3 - Registration and Related Matters > 31 - Registration Requirements > 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)
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
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.