23-402 Concept Paper 23-402 Best Execution and Soft Dollar Arrangements [CSA Staff Notice]

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CSA Concept Paper 23-402
Published: 2005-02-04
Effective: 2005-02-04

Concurrently Published

BCN 2005/06 BCN 2005/06 Request for CommentBest Execution and Soft Dollar Arrangements [BCN - Lapsed]
23-303 23-303 Update on Concept Paper 23-402 Best execution and soft dollar arrangements [CSA Staff Notice]


The Canadian Securities Administrators (the CSA or we) are publishing Concept paper 23-402 Best execution and soft dollar arrangements for comment. The purpose of the concept paper is to set out a number of issues related to best execution and soft dollar arrangements for discussion and obtain feedback. We will take the feedback received through the consultation process into account in our assessment of what, if any, further steps are appropriate.

Request for Comment

We welcome your comments on the issues identified in the concept paper in both hard copy and email form.Please submit them in writing on or before May 6, 2005.

Please address your submission to all of the CSA listed below in care of the OSC, in duplicate as indicated below:

British Columbia Securities Commission
Alberta Securities Commission
Manitoba Securities Commission
Ontario Securities Commission

c/o John Stevenson, Secretary
Ontario Securities Commission
20 Queen Street West
Suite 1903, Box 55
Toronto, Ontario M5H 3S8
Fax: (416) 593-2318
Email: jstevenson@osc.gov.on.ca

Please also send your submission to the Autorité des marchés financiers du Québec as follows:

Anne-Marie Beaudoin, Directrice du secrétariat
Autorité des marchés financiers du Québec
Tour de la Bourse
800, square Victoria
C.P. 246, 22e étage
Montréal, Québec H4Z 1G3
Email: consultation-en-cours@lautorite.com

We cannot keep submissions confidential because securities legislation in certain provinces requires us to publish a summary of written comments received during the comment period.

The text of the document follows.


Please refer your questions to any of the following people:

Cindy Petlock
Ontario Securities Commission
(416) 593-2351

Susan Greenglass
Ontario Securities Commission
(416) 593-8140

Veronica Armstrong
British Columbia Securities Commission
(604) 899-6738

Patty Johnston
Alberta Securities Commission
(403) 297-2074

Elizabeth Osler
Alberta Securities Commission
(403) 297-5167

Serge Boisvert
Autorité des marchés financiers du Québec
(514) 940-2199 x4358

Doug Brown
Manitoba Securities Commission
(204) 945-0605

February 4, 2005