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 > 31-343 – Conflicts of interest in distributing securities of related or connected issuers (National Notice)
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Effective: November 19, 2015.
This purpose of this CSA Staff Notice is to set out our concerns with the conflicts of interest that arise from the captive dealer business model to help captive dealers decide how to respond to conflicts of interest by avoiding, or controlling and disclosing them, suggest acceptable practices and unacceptable practices for addressing conflicts of interest, outline what firms proposing to be captive dealers can expect when applying for registration and outline what captive dealers can expect when CSA staff perform compliance reviews.