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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).

Narrated Overview of CSA Consultation Paper 33-404

On July 26, 2016, the Canadian Securities Administrators (CSA) announced that they would extend the comment period for Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward their Clients to September 30, 2016.

The Consultation Paper was published for comment on April 28, 2016 with a comment period scheduled to end August 26, 2016. Since publication, a number of stakeholders indicated that it would be beneficial to have additional time to review the Consultation Paper and prepare comments. In light of this, the CSA extended the consultation period.

To assist stakeholders in understanding CSA Consultation Paper 33-404, the Alberta Securities Commission (ASC) has created a number of presentations (with commentary) that provide an overview of the Consultation Paper.

Part I – background, research performed, concerns identified, proposals (16:05 minutes)

Part II – review of targeted reforms (22:05 minutes)

Part III – review of the proposed best interest standard (11:32 minutes)

The ASC encourages stakeholders to provide comment regarding CSA Consultation Paper 33-404 to give us a better understanding of stakeholders’ position on this topic.

Questions about CSA Consultation Paper 33-404 can be sent to:

Bonnie Kuhn
Manager, Legal, Market Regulation
bonnie.kuhn@asc.ca