Registrant Regulation
The BC 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.
Related CSA Staff Notices
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31-350 Guidance on Small Firms Compliance and Regulatory Obligations [CSA Staff Notice]
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31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers [CSA Staff Notice]
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31-354 Suggested Practices for Engaging with Older or Vulnerable Clients [CSA Staff Notice]
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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]