Financial and Consumer Affairs Authority of Saskatchewan

FCAA is Saskatchewan’s financial and consumer marketplace regulator.

31-343 – Conflicts of interest in distributing securities of related or connected issuers (National Notice)

  • 31-343 – Conflicts of interest in distributing securities of related or connected issuers (National Notice)

    • CSA Staff Notice 31-343 Conflicts of interest in distributing securities of related or connected issuers

      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.

      31_343_csa_staff_notice_november_19_2015.pdf

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