Securities Law & Instruments

33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients

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Final and Approved:
Proposals:
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History of 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients
May 11, 2017 CSA Staff Notice 33-319 - Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients
December 6, 2016 Transcript: Roundtable Re: CSA Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients (December 6, 2016)
July 25, 2016 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
April 28, 2016 CSA Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients
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