FCAA is Saskatchewan’s financial and consumer marketplace regulator.
Home > Securities Industry Participants > Securities Laws > Regulatory Instruments > Part 3 - Registration and Related Matters > 33 - Ongoing Requirements Affecting Registrants > 33-317 – Next Steps in the CSA's Work to enhance the Obligations of Advisors, Dealers and Representatives Toward Their Clients (National Notice)
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This notice provides advance notice of the upcoming publication of CSA Consultation Paper 33-404 – Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients (the Consultation Paper). The Consultation Paper, anticipated to be published toward the end of April 2016, will seek comment on proposed regulatory action aimed at strengthening the obligations that advisers, dealers and representatives owe to their clients.