The British Columbia Securities Commission oversees – or helps oversee – the business of trading or advising in securities or derivatives.
We expect registrants to meet standards for professional knowledge and integrity, emphasizing that they treat clients honestly and fairly.
- Understanding Your BCSC Compliance Examination
- Role of the Chief Compliance Officer
- Financial Filings Working Capital
- Helping Clients Understand the Client Relationship Model Phase 2
- Prospectus Exemptions for Registrants
Related CSA Staff Notices
31-350 Guidance on Small Firms Compliance and Regulatory Obligations [CSA Staff Notice]
31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers [CSA Staff Notice]
31-354 Suggested Practices for Engaging with Older or Vulnerable Clients [CSA Staff Notice]
31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations [CSA Staff Notice]