CSA Consultation Paper 33-404 (Session B: In-person)

OSC Registrant Outreach Seminar Past Event
Jun 23, 2016
02:00 pm  -  04:00 pm
OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8

This seminar will provide an overview of CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients, including the proposed targeted reforms (e.g. conflicts, KYC, KYP, suitability, use of titles) and proposed regulatory best interest standard described in the Paper.

Who should attend:

Dealers and advisers who are interested in the proposals in CSA Consultation Paper 33-404 and who would like more information about this initiative.

Benefits:

Gain an awareness of the background and content of CSA Consultation Paper 33-404.

Documents:

regulatory overview