Securities Law

33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Towards Their Clients

Document		Published	Effective
33-404	Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Towards Their Clients [CSA Consultation Paper] PDF Download	2016-04-28	---

Document		Published	Effective
33-316	Status Report on Consultation under CSA Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients [CSA Staff Notice] PDF Download	2013-12-17	---
33-403	The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients [CSA Consultation Paper] PDF Download	2012-10-25	---