CSA Consultation Paper 81-408 - Consultation on the Option of Discontinuing Embedded Commissions (Session B In-Person)
Apr
13, 2017
02:00 pm
-
04:00 pm
22nd Floor Training Room Ontario Securities Commission 20 Queen Street West Toronto, ON
Event Details
The seminar will provide an overview of the CSA’s consultation on the option of discontinuing embedded commissions. Key topics discussed will include: the CSA’s consultation objectives, the investor protection and market efficiency issues that embedded commissions raise, the proposed scope of a potential policy discontinuing embedded commissions, the CSA’s analysis of the potential impacts of discontinuing embedded commissions in Canada, and potential measures to mitigate unintended consequences.
Who should Attend:
Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel for investment fund managers and dealers.
Benefits:
- Enhance understanding of the CSA’s proposal on the option of discontinuing embedded commissions and its assessment of the potential impacts of such a change on investors and industry participants;
- Gain insights that will assist in responding to the consultation paper.
Documents
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