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CSA Staff Notice 11-331 Extension of Consultation Period
Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients |
July 25, 2016
On April 28, 2016 the Canadian Securities Administrators (the CSA, us or we) published for comment Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients (the Consultation Paper). The Consultation Paper discusses the proposed regulatory action aimed at enhancing the obligations that advisers, dealers and representatives (registrants) owe to their clients and is the result of continuing CSA work, including consultations and research on the relationship between clients and registrants.
The comment period is scheduled to close on August 26, 2016. We have received feedback from several stakeholders that it would be beneficial for stakeholders to have additional time to review the Consultation Paper and prepare comments. The CSA is committed to having a productive consultation process and receiving specific input on the proposals and alternatives. We therefore are extending the comment period from August 26, 2016 to September 30, 2016.
The CSA also plans to hold roundtables with market participants in fall 2016, to discuss issues raised in comment letters.
Questions
If you have any comments or questions, please contact any of the CSA staff listed below.
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Jason Alcorn Senior Legal Counsel Financial and Consumer Services Commission of New Brunswick Tel: 506-643-7857
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Jane Anderson Director, Policy & Market Regulation and Secretary to the Commission Nova Scotia Securities Commission Tel: 902-424-0179 |
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Chris Besko Director, General Counsel The Manitoba Securities Commission Tel: 204-945-2561 Toll Free (Manitoba only): 1-800-655-5244 |
Sarah Corrigall-Brown Senior Legal Counsel, Capital Markets Regulation British Columbia Securities Commission Tel: 604-899-6738 |
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Debra Foubert Director Compliance and Registrant Regulation Ontario Securities Commission Tel: 416-593-8101 dfoubert@osc.gov.on.ca
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Noémie C. Girard Analyste à l’encadrement des intermédiaires Autorité des marchés financiers Tel: 418-525-0337, ext. 4806 Toll Free: 1-877-525-0337 noemie.corneau-girard@lautorite.qc.ca
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Sophie Jean Directrice de l’encadrement des intermédiaires Autorité des marchés financiers Tel: 514-395-0337, ext. 4801 Toll Free: 1-877-525-0337
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Liz Kutarna Deputy Director, Capital Markets Securities Division Financial and Consumer Affairs Authority of Saskatchewan Tel: 306-787-5871 liz.kutarna@gov.sk.ca |
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Bonnie Kuhn Manager, Legal Market Regulation Alberta Securities Commission Tel: 403-355-3890
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Maye Mouftah Senior Legal Counsel Compliance and Registrant Regulation Ontario Securities Commission Tel: 416-593-2358
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Sonne Udemgba Deputy Director, Legal Securities Division Financial and Consumer Affairs Authority of Saskatchewan Tel: 306-787-5879
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