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The FCAA is open to the public and masks are mandatory. Please contact staff members by phone or email to arrange a meeting. Visit our telephone directory for staff contact information. For further assistance you can contact 306-787-5645. 
 

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)

    • Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations

      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.pdf

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