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
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
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
July 25, 2016
On April 28, 2016 the Canadian Securities Administrators (the CSA, us or we) published for comment Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients (the Consultation Paper). The Consultation Paper discusses the proposed regulatory action aimed at enhancing the obligations that advisers, dealers and representatives (registrants) owe to their clients and is the result of continuing CSA work, including consultations and research on the relationship between clients and registrants.
The comment period is scheduled to close on August 26, 2016. We have received feedback from several stakeholders that it would be beneficial for stakeholders to have additional time to review the Consultation Paper and prepare comments. The CSA is committed to having a productive consultation process and receiving specific input on the proposals and alternatives. We therefore are extending the comment period from August 26, 2016 to September 30, 2016.
The CSA also plans to hold roundtables with market participants in fall 2016, to discuss issues raised in comment letters.
Questions
If you have any comments or questions, please contact any of the CSA staff listed below.
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Jason Alcorn |
Jane Anderson |
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Chris Besko |
Sarah Corrigall-Brown |
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Debra Foubert |
Noémie C. Girard |
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Sophie Jean |
Liz Kutarna |
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Bonnie Kuhn |
Maye Mouftah |
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Sonne Udemgba |
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