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 > 33-319 – Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients (National Notice)
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Effective Date: May 11, 2017
The purpose of this Notice is to provide a high level summary of the consultation process to date, identify certain of the high level key themes that have emerged through this process and indicate the direction that the CSA will take in respect of the various proposals outlined in the Consultation Paper.